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ASIC HOME | ASIC
07 June 2021 - MEDIA RELEASE 21-124MR Former mortgage brokerage company convicted and fined for knowingly making a false statement to ASIC Advanced Choice Finance Pty Ltd (ACF), a former Melbourne based mortgage brokerage company, has been convicted and fined $4,000 forknowingly making
SEARCH ASIC'S REGISTERS Search ASIC's Registers. We provide access to a range of information and products through our website. Searching ASIC's registers lets you access information on all our available registers. You can also use NZAU Connect, our app that allows you to search across Australia and COMPANIES AND ORGANISATIONS Significant global entities. Significant Global Entities (SGEs) are companies that are required by law to lodge general purpose financial statements with the Australian Taxation Office (ATO). For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. The statements will be passed on by the ATO to ASICand
CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021.LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. 202 APPLICATION FOR REGISTRATION OF A BODY CORPORATE AS A Form 202 Description: Application for registration of a body corporate as a company: Purpose: Register a body corporate (i.e. Foreign company, Association, Co-operative), as an Australian company.ASIC HOME | ASIC
07 June 2021 - MEDIA RELEASE 21-124MR Former mortgage brokerage company convicted and fined for knowingly making a false statement to ASIC Advanced Choice Finance Pty Ltd (ACF), a former Melbourne based mortgage brokerage company, has been convicted and fined $4,000 forknowingly making
SEARCH ASIC'S REGISTERS Search ASIC's Registers. We provide access to a range of information and products through our website. Searching ASIC's registers lets you access information on all our available registers. You can also use NZAU Connect, our app that allows you to search across Australia and COMPANIES AND ORGANISATIONS Significant global entities. Significant Global Entities (SGEs) are companies that are required by law to lodge general purpose financial statements with the Australian Taxation Office (ATO). For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. The statements will be passed on by the ATO to ASICand
CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021.LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. 202 APPLICATION FOR REGISTRATION OF A BODY CORPORATE AS A Form 202 Description: Application for registration of a body corporate as a company: Purpose: Register a body corporate (i.e. Foreign company, Association, Co-operative), as an Australian company.BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. WELCOME - ASIC CONNECT You can search ASIC's registers to find information about companies, business names, auditors, liquidators, and other financialprofessionals.
AFS LICENSEES
AFS licensees Important notice: AFS licensees are now required to submit breach reports to us via the ASIC Regulatory Portal. The portal will replace existing submission channels. Visit our Changes to how AFS licensees report breaches page for more information. You must have an Australian financial services (AFS) licence to conduct a financialservices business.
21-058MR ASIC RELEASES ADVICE FEE CONSENT AND LACK OF Thursday 25 March 2021 21-058MR ASIC releases advice fee consent and lack of independence disclosure legislative instruments ASIC has made three legislative instruments that deal with advice fee consents and independence disclosure following Royal Assent of the Financial Sector Reform (Hayne Royal Commission Response No.2) Act 2021 (the Act)earlier this month.
21-093MR ASIC COMMENCES CIVIL PROCEEDINGS AGAINST WESTPAC Wednesday 5 May 2021 21-093MR ASIC commences civil proceedings against Westpac for insider trading ASIC has today commenced proceedings in the Federal Court against Westpac Banking Corporation (Westpac) for insider trading, unconscionable conduct and breaches of its Australian financial services licensee obligations. CUSTOMER CONTACT CENTRE ENQUIRY WAIT TIMES Customer Contact Centre enquiry wait times As our Customer Contact Centre is located in Gippsland, Victoria, we are currently impacted by the recent flooding event. CLAIMS HANDLING AND SETTLING: HOW TO COMPLY WITH YOUR AFS Claims handling and settling: How to comply with your AFS licence obligations This information sheet (INFO 253) is for anyone who provides claims handling and settling services for insurance productsregulated by ASIC.
21-125MR ASIC PERMANENTLY BANS SYDNEY FINANCIAL PLANNER Tuesday 8 June 2021 21-125MR ASIC permanently bans Sydney financial planner Gavin Fineff ASIC has permanently banned Sydney-based financial adviser Gavin Fineff from providing any financial services, controlling a financial services business or performing any function involved in carrying on of a financial services business. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act. 21-126MR HALIFAX AUDITORS FACE FIRST CRIMINAL CHARGES LAID Tuesday 8 June 2021 21-126MR Halifax auditors face first criminal charges laid in Australia for failure to comply with auditing standards On 8 June 2021, criminal charges against EC Audit Pty Ltd (EC Audit) (known as Bentleys NSW Audit Pty Ltd prior to 14 May 2021), an authorised audit company, and its director and registered auditor, Robert James Evett, for breaches of auditing standards wereASIC HOME | ASIC
07 June 2021 - MEDIA RELEASE 21-124MR Former mortgage brokerage company convicted and fined for knowingly making a false statement to ASIC Advanced Choice Finance Pty Ltd (ACF), a former Melbourne based mortgage brokerage company, has been convicted and fined $4,000 forknowingly making
SEARCH ASIC'S REGISTERS Search ASIC's Registers. We provide access to a range of information and products through our website. Searching ASIC's registers lets you access information on all our available registers. You can also use NZAU Connect, our app that allows you to search across Australia and COMPANIES AND ORGANISATIONS Significant global entities. Significant Global Entities (SGEs) are companies that are required by law to lodge general purpose financial statements with the Australian Taxation Office (ATO). For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. The statements will be passed on by the ATO to ASICand
21-082MR ASIC TO EXTEND DEADLINES FOR 30 JUNE 2021 Friday 23 April 2021 21-082MR ASIC to extend deadlines for 30 June 2021 financial reports and amends ‘no action’ position for AGMs ASIC will extend the deadline for both listed and unlisted entities to lodge financial reports (under Chapters 2M and 7 of the Corporations Act 2001) by one month for balance dates from 23 June to 7 July 2021(inclusive).
BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. 21-093MR ASIC COMMENCES CIVIL PROCEEDINGS AGAINST WESTPAC Wednesday 5 May 2021 21-093MR ASIC commences civil proceedings against Westpac for insider trading ASIC has today commenced proceedings in the Federal Court against Westpac Banking Corporation (Westpac) for insider trading, unconscionable conduct and breaches of its Australian financial services licensee obligations.LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act. WELCOME - ASIC CONNECTSEE MORE ON ASICCONNECT.ASIC.GOV.AU INFORMATION SHEET INFO 253: CLAIMS HANDLING AND SETTLING Certain persons are exempt from being claimant intermediaries, even if they meet the definition above.For example, exempt persons include: • mortgage brokersASIC HOME | ASIC
07 June 2021 - MEDIA RELEASE 21-124MR Former mortgage brokerage company convicted and fined for knowingly making a false statement to ASIC Advanced Choice Finance Pty Ltd (ACF), a former Melbourne based mortgage brokerage company, has been convicted and fined $4,000 forknowingly making
SEARCH ASIC'S REGISTERS Search ASIC's Registers. We provide access to a range of information and products through our website. Searching ASIC's registers lets you access information on all our available registers. You can also use NZAU Connect, our app that allows you to search across Australia and COMPANIES AND ORGANISATIONS Significant global entities. Significant Global Entities (SGEs) are companies that are required by law to lodge general purpose financial statements with the Australian Taxation Office (ATO). For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. The statements will be passed on by the ATO to ASICand
21-082MR ASIC TO EXTEND DEADLINES FOR 30 JUNE 2021 Friday 23 April 2021 21-082MR ASIC to extend deadlines for 30 June 2021 financial reports and amends ‘no action’ position for AGMs ASIC will extend the deadline for both listed and unlisted entities to lodge financial reports (under Chapters 2M and 7 of the Corporations Act 2001) by one month for balance dates from 23 June to 7 July 2021(inclusive).
BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. 21-093MR ASIC COMMENCES CIVIL PROCEEDINGS AGAINST WESTPAC Wednesday 5 May 2021 21-093MR ASIC commences civil proceedings against Westpac for insider trading ASIC has today commenced proceedings in the Federal Court against Westpac Banking Corporation (Westpac) for insider trading, unconscionable conduct and breaches of its Australian financial services licensee obligations.LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act. WELCOME - ASIC CONNECTSEE MORE ON ASICCONNECT.ASIC.GOV.AU INFORMATION SHEET INFO 253: CLAIMS HANDLING AND SETTLING Certain persons are exempt from being claimant intermediaries, even if they meet the definition above.For example, exempt persons include: • mortgage brokers NEW AND UPDATED ASIC REGULATORY DOCUMENTS To assist users since the COVID-19 pandemic, we are publishing this weekly tracker of ASIC regulatory document updates. It lists and includes links to all new and updated regulatory guides, information sheets, reports and consultation papers issued by ASIC and publishedon our website.
BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. 21-082MR ASIC TO EXTEND DEADLINES FOR 30 JUNE 2021 Friday 23 April 2021 21-082MR ASIC to extend deadlines for 30 June 2021 financial reports and amends ‘no action’ position for AGMs ASIC will extend the deadline for both listed and unlisted entities to lodge financial reports (under Chapters 2M and 7 of the Corporations Act 2001) by one month for balance dates from 23 June to 7 July 2021(inclusive).
FIND A MEDIA RELEASE 10 results per page 20 results per page 50 results per page 100 results per page 200 results per page. 8158 media releases found. 28 May 2021 MEDIA RELEASE. 21-117MR ASIC bans director of Global Merces Funds Management Ltd. ASIC has banned Holly Marie Grofski, the director of Global Merces Funds Management Ltd (Global Merces), for aperiod of
21-120MR FOREX CT ORDERED TO PAY $20 MILLION PENALTY AND Wednesday 2 June 2021 21-120MR Forex CT ordered to pay $20 million penalty and sole director disqualified, fined $400,000 The Federal Court has ordered Forex Capital Trading Pty Ltd (Forex CT) pay a $20 million penalty for engaging in systemic unconscionable conduct, paying conflicted remuneration to its team leaders and account managers and failing to act in the best interests of its clients. CLAIMS HANDLING AND SETTLING: HOW TO COMPLY WITH YOUR AFS Claims handling and settling: How to comply with your AFS licence obligations This information sheet (INFO 253) is for anyone who provides claims handling and settling services for insurance productsregulated by ASIC.
21-126MR HALIFAX AUDITORS FACE FIRST CRIMINAL CHARGES LAID Tuesday 8 June 2021 21-126MR Halifax auditors face first criminal charges laid in Australia for failure to comply with auditing standards On 8 June 2021, criminal charges against EC Audit Pty Ltd (EC Audit) (known as Bentleys NSW Audit Pty Ltd prior to 14 May 2021), an authorised audit company, and its director and registered auditor, Robert James Evett, for breaches of auditing standards were TAKEOVERS AND RECONSTRUCTIONS Relevant interests and substantial holding notices. RG 5 Relevant interests and substantial holding notices. RG 222 Substantial holding disclosure: Securities lending and prime broking. ASIC Corporations (IDPS - Relevant Interests) Instrument 2015/1067. CO 11/272 Substantial holding disclosure: securities lending and prime broking. CO 12/1209 Relevant interests, ASIC and ASIC Chairperson MASTER OF FINANCIAL ANALYSIS m.olynyk@latrobe.edu.au: COVERAGE GRAPH. TOPICS COVERAGE. Principles of Economics (FIN5POE)In this subject students are exposed to the economic way of thinking about decision making.The subject will provide discussion of micro and macro economic theories and principles and illustrate them by simple stylised examples. FNS60410 ADVANCED DIPLOMA OF FINANCIAL PLANNING quantum@quantumfinancial.com.au: COVERAGE GRAPH. TOPICS COVERAGE. Module 1: Economic analysis and research techniquesTopics include: Adam Smith and the Wealthof Nations, the market economy, the effect of monopoly influence, trade, the global economic regulators, national regulators, banks and financial services, the FSRA, ASIC's Regulatory Guides, the role of research.ASIC HOME | ASIC
04 June 2021 - MEDIA RELEASE 21-123MR ASIC disqualifies director from managing companies for trading while insolvent Grant Evan Donley of Sydney, NSW has been disqualified from managing companies for two years for his role in the failure of three companies and SEARCH ASIC'S REGISTERS Search ASIC's Registers. We provide access to a range of information and products through our website. Searching ASIC's registers lets you access information on all our available registers. You can also use NZAU Connect, our app that allows you to search across Australia and COMPANIES AND ORGANISATIONS Significant global entities. Significant Global Entities (SGEs) are companies that are required by law to lodge general purpose financial statements with the Australian Taxation Office (ATO). For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. The statements will be passed on by the ATO to ASICand
CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021.BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. 21-093MR ASIC COMMENCES CIVIL PROCEEDINGS AGAINST WESTPAC Wednesday 5 May 2021 21-093MR ASIC commences civil proceedings against Westpac for insider trading ASIC has today commenced proceedings in the Federal Court against Westpac Banking Corporation (Westpac) for insider trading, unconscionable conduct and breaches of its Australian financial services licensee obligations. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act.LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. WELCOME - ASIC CONNECTSEE MORE ON ASICCONNECT.ASIC.GOV.AU INFORMATION SHEET INFO 253: CLAIMS HANDLING AND SETTLING Certain persons are exempt from being claimant intermediaries, even if they meet the definition above.For example, exempt persons include: • mortgage brokersASIC HOME | ASIC
04 June 2021 - MEDIA RELEASE 21-123MR ASIC disqualifies director from managing companies for trading while insolvent Grant Evan Donley of Sydney, NSW has been disqualified from managing companies for two years for his role in the failure of three companies and SEARCH ASIC'S REGISTERS Search ASIC's Registers. We provide access to a range of information and products through our website. Searching ASIC's registers lets you access information on all our available registers. You can also use NZAU Connect, our app that allows you to search across Australia and COMPANIES AND ORGANISATIONS Significant global entities. Significant Global Entities (SGEs) are companies that are required by law to lodge general purpose financial statements with the Australian Taxation Office (ATO). For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. The statements will be passed on by the ATO to ASICand
CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021.BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. 21-093MR ASIC COMMENCES CIVIL PROCEEDINGS AGAINST WESTPAC Wednesday 5 May 2021 21-093MR ASIC commences civil proceedings against Westpac for insider trading ASIC has today commenced proceedings in the Federal Court against Westpac Banking Corporation (Westpac) for insider trading, unconscionable conduct and breaches of its Australian financial services licensee obligations. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act.LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. WELCOME - ASIC CONNECTSEE MORE ON ASICCONNECT.ASIC.GOV.AU INFORMATION SHEET INFO 253: CLAIMS HANDLING AND SETTLING Certain persons are exempt from being claimant intermediaries, even if they meet the definition above.For example, exempt persons include: • mortgage brokers NEW AND UPDATED ASIC REGULATORY DOCUMENTS To assist users since the COVID-19 pandemic, we are publishing this weekly tracker of ASIC regulatory document updates. It lists and includes links to all new and updated regulatory guides, information sheets, reports and consultation papers issued by ASIC and publishedon our website.
BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. FIND A MEDIA RELEASE 10 results per page 20 results per page 50 results per page 100 results per page 200 results per page. 8158 media releases found. 28 May 2021 MEDIA RELEASE. 21-117MR ASIC bans director of Global Merces Funds Management Ltd. ASIC has banned Holly Marie Grofski, the director of Global Merces Funds Management Ltd (Global Merces), for aperiod of
LIQUIDATORS
Answer the declaration and select 'Submit' to complete your application. You'll then see a screen confirming your request has been submitted. To activate your account, you will need to print and sign the Participation Agreement and email it to agent.registration@asic.gov.au.ASIC will contact you within two business days to confirm that your account has been activated. CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021. 21-125MR ASIC PERMANENTLY BANS SYDNEY FINANCIAL PLANNER Tuesday 8 June 2021 21-125MR ASIC permanently bans Sydney financial planner Gavin Fineff ASIC has permanently banned Sydney-based financial adviser Gavin Fineff from providing any financial services, controlling a financial services business or performing any function involved in carrying on of a financial services business. CLAIMS HANDLING AND SETTLING: HOW TO COMPLY WITH YOUR AFS Claims handling and settling: How to comply with your AFS licence obligations This information sheet (INFO 253) is for anyone who provides claims handling and settling services for insurance productsregulated by ASIC.
TAKEOVERS AND RECONSTRUCTIONS Relevant interests and substantial holding notices. RG 5 Relevant interests and substantial holding notices. RG 222 Substantial holding disclosure: Securities lending and prime broking. ASIC Corporations (IDPS - Relevant Interests) Instrument 2015/1067. CO 11/272 Substantial holding disclosure: securities lending and prime broking. CO 12/1209 Relevant interests, ASIC and ASIC Chairperson 21-126MR HALIFAX AUDITORS FACE FIRST CRIMINAL CHARGES LAID Tuesday 8 June 2021 21-126MR Halifax auditors face first criminal charges laid in Australia for failure to comply with auditing standards On 8 June 2021, criminal charges against EC Audit Pty Ltd (EC Audit) (known as Bentleys NSW Audit Pty Ltd prior to 14 May 2021), an authorised audit company, and its director and registered auditor, Robert James Evett, for breaches of auditing standards were FNS60410 ADVANCED DIPLOMA OF FINANCIAL PLANNING quantum@quantumfinancial.com.au: COVERAGE GRAPH. TOPICS COVERAGE. Module 1: Economic analysis and research techniquesTopics include: Adam Smith and the Wealthof Nations, the market economy, the effect of monopoly influence, trade, the global economic regulators, national regulators, banks and financial services, the FSRA, ASIC's Regulatory Guides, the role of research.ASIC HOME | ASIC
04 June 2021 - MEDIA RELEASE 21-123MR ASIC disqualifies director from managing companies for trading while insolvent Grant Evan Donley of Sydney, NSW has been disqualified from managing companies for two years for his role in the failure of three companies and SEARCH ASIC'S REGISTERS Search ASIC's Registers. We provide access to a range of information and products through our website. Searching ASIC's registers lets you access information on all our available registers. You can also use NZAU Connect, our app that allows you to search across Australia and COMPANIES AND ORGANISATIONS Significant global entities. Significant Global Entities (SGEs) are companies that are required by law to lodge general purpose financial statements with the Australian Taxation Office (ATO). For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. The statements will be passed on by the ATO to ASICand
CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021.BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. 21-093MR ASIC COMMENCES CIVIL PROCEEDINGS AGAINST WESTPAC Wednesday 5 May 2021 21-093MR ASIC commences civil proceedings against Westpac for insider trading ASIC has today commenced proceedings in the Federal Court against Westpac Banking Corporation (Westpac) for insider trading, unconscionable conduct and breaches of its Australian financial services licensee obligations. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act.LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. WELCOME - ASIC CONNECTSEE MORE ON ASICCONNECT.ASIC.GOV.AU INFORMATION SHEET INFO 253: CLAIMS HANDLING AND SETTLING Certain persons are exempt from being claimant intermediaries, even if they meet the definition above.For example, exempt persons include: • mortgage brokersASIC HOME | ASIC
04 June 2021 - MEDIA RELEASE 21-123MR ASIC disqualifies director from managing companies for trading while insolvent Grant Evan Donley of Sydney, NSW has been disqualified from managing companies for two years for his role in the failure of three companies and SEARCH ASIC'S REGISTERS Search ASIC's Registers. We provide access to a range of information and products through our website. Searching ASIC's registers lets you access information on all our available registers. You can also use NZAU Connect, our app that allows you to search across Australia and COMPANIES AND ORGANISATIONS Significant global entities. Significant Global Entities (SGEs) are companies that are required by law to lodge general purpose financial statements with the Australian Taxation Office (ATO). For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. The statements will be passed on by the ATO to ASICand
CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021.BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. 21-093MR ASIC COMMENCES CIVIL PROCEEDINGS AGAINST WESTPAC Wednesday 5 May 2021 21-093MR ASIC commences civil proceedings against Westpac for insider trading ASIC has today commenced proceedings in the Federal Court against Westpac Banking Corporation (Westpac) for insider trading, unconscionable conduct and breaches of its Australian financial services licensee obligations. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act.LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. WELCOME - ASIC CONNECTSEE MORE ON ASICCONNECT.ASIC.GOV.AU INFORMATION SHEET INFO 253: CLAIMS HANDLING AND SETTLING Certain persons are exempt from being claimant intermediaries, even if they meet the definition above.For example, exempt persons include: • mortgage brokers NEW AND UPDATED ASIC REGULATORY DOCUMENTS To assist users since the COVID-19 pandemic, we are publishing this weekly tracker of ASIC regulatory document updates. It lists and includes links to all new and updated regulatory guides, information sheets, reports and consultation papers issued by ASIC and publishedon our website.
BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. FIND A MEDIA RELEASE 10 results per page 20 results per page 50 results per page 100 results per page 200 results per page. 8158 media releases found. 28 May 2021 MEDIA RELEASE. 21-117MR ASIC bans director of Global Merces Funds Management Ltd. ASIC has banned Holly Marie Grofski, the director of Global Merces Funds Management Ltd (Global Merces), for aperiod of
LIQUIDATORS
Answer the declaration and select 'Submit' to complete your application. You'll then see a screen confirming your request has been submitted. To activate your account, you will need to print and sign the Participation Agreement and email it to agent.registration@asic.gov.au.ASIC will contact you within two business days to confirm that your account has been activated. CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021. 21-125MR ASIC PERMANENTLY BANS SYDNEY FINANCIAL PLANNER Tuesday 8 June 2021 21-125MR ASIC permanently bans Sydney financial planner Gavin Fineff ASIC has permanently banned Sydney-based financial adviser Gavin Fineff from providing any financial services, controlling a financial services business or performing any function involved in carrying on of a financial services business. CLAIMS HANDLING AND SETTLING: HOW TO COMPLY WITH YOUR AFS Claims handling and settling: How to comply with your AFS licence obligations This information sheet (INFO 253) is for anyone who provides claims handling and settling services for insurance productsregulated by ASIC.
TAKEOVERS AND RECONSTRUCTIONS Relevant interests and substantial holding notices. RG 5 Relevant interests and substantial holding notices. RG 222 Substantial holding disclosure: Securities lending and prime broking. ASIC Corporations (IDPS - Relevant Interests) Instrument 2015/1067. CO 11/272 Substantial holding disclosure: securities lending and prime broking. CO 12/1209 Relevant interests, ASIC and ASIC Chairperson 21-126MR HALIFAX AUDITORS FACE FIRST CRIMINAL CHARGES LAID Tuesday 8 June 2021 21-126MR Halifax auditors face first criminal charges laid in Australia for failure to comply with auditing standards On 8 June 2021, criminal charges against EC Audit Pty Ltd (EC Audit) (known as Bentleys NSW Audit Pty Ltd prior to 14 May 2021), an authorised audit company, and its director and registered auditor, Robert James Evett, for breaches of auditing standards were FNS60410 ADVANCED DIPLOMA OF FINANCIAL PLANNING quantum@quantumfinancial.com.au: COVERAGE GRAPH. TOPICS COVERAGE. Module 1: Economic analysis and research techniquesTopics include: Adam Smith and the Wealthof Nations, the market economy, the effect of monopoly influence, trade, the global economic regulators, national regulators, banks and financial services, the FSRA, ASIC's Regulatory Guides, the role of research.ASIC HOME | ASIC
04 June 2021 - MEDIA RELEASE 21-123MR ASIC disqualifies director from managing companies for trading while insolvent Grant Evan Donley of Sydney, NSW has been disqualified from managing companies for two years for his role in the failure of three companies and SEARCH ASIC'S REGISTERS Search ASIC's Registers. We provide access to a range of information and products through our website. Searching ASIC's registers lets you access information on all our available registers. You can also use NZAU Connect, our app that allows you to search across Australia and COMPANIES AND ORGANISATIONS Significant global entities. Significant Global Entities (SGEs) are companies that are required by law to lodge general purpose financial statements with the Australian Taxation Office (ATO). For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. The statements will be passed on by the ATO to ASICand
CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021.BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. WELCOME - ASIC CONNECT You can search ASIC's registers to find information about companies, business names, auditors, liquidators, and other financialprofessionals.
LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act. CLAIMS HANDLING AND SETTLING: HOW TO COMPLY WITH YOUR AFS Claims handling and settling: How to comply with your AFS licence obligations This information sheet (INFO 253) is for anyone who provides claims handling and settling services for insurance productsregulated by ASIC.
ASIC REGULATORY PORTAL The ASIC Regulatory Portal is where our regulated community can access ASIC’s increasing suite of digital services. It is an important first step on our journey to improve the experience of our regulatory stakeholders. The portal will improve how we deliver online services to you over time, and how you can transact and interact with us.ASIC HOME | ASIC
04 June 2021 - MEDIA RELEASE 21-123MR ASIC disqualifies director from managing companies for trading while insolvent Grant Evan Donley of Sydney, NSW has been disqualified from managing companies for two years for his role in the failure of three companies and SEARCH ASIC'S REGISTERS Search ASIC's Registers. We provide access to a range of information and products through our website. Searching ASIC's registers lets you access information on all our available registers. You can also use NZAU Connect, our app that allows you to search across Australia and COMPANIES AND ORGANISATIONS Significant global entities. Significant Global Entities (SGEs) are companies that are required by law to lodge general purpose financial statements with the Australian Taxation Office (ATO). For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. The statements will be passed on by the ATO to ASICand
CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021.BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. WELCOME - ASIC CONNECT You can search ASIC's registers to find information about companies, business names, auditors, liquidators, and other financialprofessionals.
LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act. CLAIMS HANDLING AND SETTLING: HOW TO COMPLY WITH YOUR AFS Claims handling and settling: How to comply with your AFS licence obligations This information sheet (INFO 253) is for anyone who provides claims handling and settling services for insurance productsregulated by ASIC.
ASIC REGULATORY PORTAL The ASIC Regulatory Portal is where our regulated community can access ASIC’s increasing suite of digital services. It is an important first step on our journey to improve the experience of our regulatory stakeholders. The portal will improve how we deliver online services to you over time, and how you can transact and interact with us. NEW AND UPDATED ASIC REGULATORY DOCUMENTS To assist users since the COVID-19 pandemic, we are publishing this weekly tracker of ASIC regulatory document updates. It lists and includes links to all new and updated regulatory guides, information sheets, reports and consultation papers issued by ASIC and publishedon our website.
NEWS CENTRE
01 June 2021 21-118MR ASIC issues information sheet on activist short selling in Australia. 28 May 2021 21-117MR ASIC bans director of Global Merces Funds Management Ltd. 27 May 2021 21-116MR Charges filed in the Federal Court against ME Bank. 27 May 2021 21-115MR ASIC sues AMP for charging deceased customers. More media releases.AFS LICENSEES
AFS licensees Important notice: AFS licensees are now required to submit breach reports to us via the ASIC Regulatory Portal. The portal will replace existing submission channels. Visit our Changes to how AFS licensees report breaches page for more information. You must have an Australian financial services (AFS) licence to conduct a financialservices business.
FIND A MEDIA RELEASE 10 results per page 20 results per page 50 results per page 100 results per page 200 results per page. 8158 media releases found. 28 May 2021 MEDIA RELEASE. 21-117MR ASIC bans director of Global Merces Funds Management Ltd. ASIC has banned Holly Marie Grofski, the director of Global Merces Funds Management Ltd (Global Merces), for aperiod of
CREDIT LICENSEES
ASIC assesses applications for credit licences as part of our role as regulator of the consumer credit industry. Consumers should be aware that the licensing process is a point-in-time assessment of the licensee, not of its owners or employees. Holding a credit licence does not guarantee the probity or quality of the licensee’sservices.
21-120MR FOREX CT ORDERED TO PAY $20 MILLION PENALTY AND Wednesday 2 June 2021 21-120MR Forex CT ordered to pay $20 million penalty and sole director disqualified, fined $400,000 The Federal Court has ordered Forex Capital Trading Pty Ltd (Forex CT) pay a $20 million penalty for engaging in systemic unconscionable conduct, paying conflicted remuneration to its team leaders and account managers and failing to act in the best interests of its clients. ASIC REGULATORY PORTAL The ASIC Regulatory Portal is where our regulated community can access ASIC’s increasing suite of digital services. It is an important first step on our journey to improve the experience of our regulatory stakeholders. The portal will improve how we deliver online services to you over time, and how you can transact and interact with us. 21-127MR FORMER DIRECTOR CONVICTED OF FRAUD AND SENTENCED Tuesday 8 June 2021 21-127MR Former director convicted of fraud and sentenced to four years imprisonment Jaicome Spinella, of West End, Brisbane, Queensland, has been convicted of fraud and sentenced to four years imprisonment. MASTER OF FINANCIAL ANALYSIS m.olynyk@latrobe.edu.au: COVERAGE GRAPH. TOPICS COVERAGE. Principles of Economics (FIN5POE)In this subject students are exposed to the economic way of thinking about decision making.The subject will provide discussion of micro and macro economic theories and principles and illustrate them by simple stylised examples. SIGN IN - ASIC REGULATORY PORTAL Welcome to the ASIC Regulatory Portal. If you haven't signed up for an account yet, please register for access to the portal. You need to register even if you use our other online services, such as the AFS licensees, Liquidators and ASIC Connect portals.ASIC HOME | ASIC
04 June 2021 - MEDIA RELEASE 21-123MR ASIC disqualifies director from managing companies for trading while insolvent Grant Evan Donley of Sydney, NSW has been disqualified from managing companies for two years for his role in the failure of three companies and SEARCH ASIC'S REGISTERS Search ASIC's Registers. We provide access to a range of information and products through our website. Searching ASIC's registers lets you access information on all our available registers. You can also use NZAU Connect, our app that allows you to search across Australia and COMPANIES AND ORGANISATIONS Significant global entities. Significant Global Entities (SGEs) are companies that are required by law to lodge general purpose financial statements with the Australian Taxation Office (ATO). For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. The statements will be passed on by the ATO to ASICand
CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021.BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. WELCOME - ASIC CONNECT You can search ASIC's registers to find information about companies, business names, auditors, liquidators, and other financialprofessionals.
LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act. CLAIMS HANDLING AND SETTLING: HOW TO COMPLY WITH YOUR AFS Claims handling and settling: How to comply with your AFS licence obligations This information sheet (INFO 253) is for anyone who provides claims handling and settling services for insurance productsregulated by ASIC.
ASIC REGULATORY PORTAL The ASIC Regulatory Portal is where our regulated community can access ASIC’s increasing suite of digital services. It is an important first step on our journey to improve the experience of our regulatory stakeholders. The portal will improve how we deliver online services to you over time, and how you can transact and interact with us.ASIC HOME | ASIC
04 June 2021 - MEDIA RELEASE 21-123MR ASIC disqualifies director from managing companies for trading while insolvent Grant Evan Donley of Sydney, NSW has been disqualified from managing companies for two years for his role in the failure of three companies and SEARCH ASIC'S REGISTERS Search ASIC's Registers. We provide access to a range of information and products through our website. Searching ASIC's registers lets you access information on all our available registers. You can also use NZAU Connect, our app that allows you to search across Australia and COMPANIES AND ORGANISATIONS Significant global entities. Significant Global Entities (SGEs) are companies that are required by law to lodge general purpose financial statements with the Australian Taxation Office (ATO). For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. The statements will be passed on by the ATO to ASICand
CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021.BUSINESS NAMES
Government bodies are able to access the Business Names Register for free (in some cases). Some agencies may also access information that is not available to the public as part of their work. For example, birth and residential address details. Business names legislation outlines the information that government agencies can access. WELCOME - ASIC CONNECT You can search ASIC's registers to find information about companies, business names, auditors, liquidators, and other financialprofessionals.
LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act. CLAIMS HANDLING AND SETTLING: HOW TO COMPLY WITH YOUR AFS Claims handling and settling: How to comply with your AFS licence obligations This information sheet (INFO 253) is for anyone who provides claims handling and settling services for insurance productsregulated by ASIC.
ASIC REGULATORY PORTAL The ASIC Regulatory Portal is where our regulated community can access ASIC’s increasing suite of digital services. It is an important first step on our journey to improve the experience of our regulatory stakeholders. The portal will improve how we deliver online services to you over time, and how you can transact and interact with us. NEW AND UPDATED ASIC REGULATORY DOCUMENTS To assist users since the COVID-19 pandemic, we are publishing this weekly tracker of ASIC regulatory document updates. It lists and includes links to all new and updated regulatory guides, information sheets, reports and consultation papers issued by ASIC and publishedon our website.
NEWS CENTRE
01 June 2021 21-118MR ASIC issues information sheet on activist short selling in Australia. 28 May 2021 21-117MR ASIC bans director of Global Merces Funds Management Ltd. 27 May 2021 21-116MR Charges filed in the Federal Court against ME Bank. 27 May 2021 21-115MR ASIC sues AMP for charging deceased customers. More media releases.AFS LICENSEES
AFS licensees Important notice: AFS licensees are now required to submit breach reports to us via the ASIC Regulatory Portal. The portal will replace existing submission channels. Visit our Changes to how AFS licensees report breaches page for more information. You must have an Australian financial services (AFS) licence to conduct a financialservices business.
FIND A MEDIA RELEASE 10 results per page 20 results per page 50 results per page 100 results per page 200 results per page. 8158 media releases found. 28 May 2021 MEDIA RELEASE. 21-117MR ASIC bans director of Global Merces Funds Management Ltd. ASIC has banned Holly Marie Grofski, the director of Global Merces Funds Management Ltd (Global Merces), for aperiod of
21-120MR FOREX CT ORDERED TO PAY $20 MILLION PENALTY AND Wednesday 2 June 2021 21-120MR Forex CT ordered to pay $20 million penalty and sole director disqualified, fined $400,000 The Federal Court has ordered Forex Capital Trading Pty Ltd (Forex CT) pay a $20 million penalty for engaging in systemic unconscionable conduct, paying conflicted remuneration to its team leaders and account managers and failing to act in the best interests of its clients.CREDIT LICENSEES
ASIC assesses applications for credit licences as part of our role as regulator of the consumer credit industry. Consumers should be aware that the licensing process is a point-in-time assessment of the licensee, not of its owners or employees. Holding a credit licence does not guarantee the probity or quality of the licensee’sservices.
ASIC REGULATORY PORTAL The ASIC Regulatory Portal is where our regulated community can access ASIC’s increasing suite of digital services. It is an important first step on our journey to improve the experience of our regulatory stakeholders. The portal will improve how we deliver online services to you over time, and how you can transact and interact with us. 21-127MR FORMER DIRECTOR CONVICTED OF FRAUD AND SENTENCED Tuesday 8 June 2021 21-127MR Former director convicted of fraud and sentenced to four years imprisonment Jaicome Spinella, of West End, Brisbane, Queensland, has been convicted of fraud and sentenced to four years imprisonment. MASTER OF FINANCIAL ANALYSIS m.olynyk@latrobe.edu.au: COVERAGE GRAPH. TOPICS COVERAGE. Principles of Economics (FIN5POE)In this subject students are exposed to the economic way of thinking about decision making.The subject will provide discussion of micro and macro economic theories and principles and illustrate them by simple stylised examples. SIGN IN - ASIC REGULATORY PORTAL Welcome to the ASIC Regulatory Portal. If you haven't signed up for an account yet, please register for access to the portal. You need to register even if you use our other online services, such as the AFS licensees, Liquidators and ASIC Connect portals.ASIC HOME | ASIC
04 June 2021 - MEDIA RELEASE 21-123MR ASIC disqualifies director from managing companies for trading while insolvent Grant Evan Donley of Sydney, NSW has been disqualified from managing companies for two years for his role in the failure of three companies and SEARCH ASIC'S REGISTERS Search ASIC's registers to find information about companies, business names, persons, lodged documents, and much more. Visit ASIC's website for more information. COMPANIES AND ORGANISATIONS Use ASIC's Organisations and Business Names search to find information on companies, registered bodies, foreign companies, and other types of entities. Visit ASIC's website for CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021. WELCOME - ASIC CONNECT You can search ASIC's registers to find information about companies, business names, auditors, liquidators, and other financialprofessionals.
BUSINESS NAMES
You can search ASIC's business name register for more information about existing business names and their holders. Visit ASIC's website for more information.LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act. CLAIMS HANDLING AND SETTLING: HOW TO COMPLY WITH YOUR AFS Claims handling and settling: How to comply with your AFS licence obligations This information sheet (INFO 253) is for anyone who provides claims handling and settling services for insurance productsregulated by ASIC.
ASIC REGULATORY PORTAL Industry funding fast facts. The Government’s industry funding arrangements for ASIC became law in 2017. Industry funding is an annual cycle. Between July and September/October each year, entities will need to log in to the portal and submit their industry funding metrics for the previous financial year.ASIC HOME | ASIC
04 June 2021 - MEDIA RELEASE 21-123MR ASIC disqualifies director from managing companies for trading while insolvent Grant Evan Donley of Sydney, NSW has been disqualified from managing companies for two years for his role in the failure of three companies and SEARCH ASIC'S REGISTERS Search ASIC's registers to find information about companies, business names, persons, lodged documents, and much more. Visit ASIC's website for more information. COMPANIES AND ORGANISATIONS Use ASIC's Organisations and Business Names search to find information on companies, registered bodies, foreign companies, and other types of entities. Visit ASIC's website for CP 340 BREACH REPORTING AND RELATED OBLIGATIONS CP 340 Breach reporting and related obligations Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial services (AFS) licensees and Australian credit licensees (credit licensees) on the breach reporting obligation that applies from 1 October 2021. WELCOME - ASIC CONNECT You can search ASIC's registers to find information about companies, business names, auditors, liquidators, and other financialprofessionals.
BUSINESS NAMES
You can search ASIC's business name register for more information about existing business names and their holders. Visit ASIC's website for more information.LOGIN ASIC CONNECT
Username (email address) and password. If you have already signed up, log in by entering your username (email address) and password below. RG 274 PRODUCT DESIGN AND DISTRIBUTION OBLIGATIONS RG 274 Product design and distribution obligations Issued 11 December 2020. This guide is for issuers and distributors of financial products that must comply with the design and distribution obligations in Pt 7.8A of the Corporations Act. CLAIMS HANDLING AND SETTLING: HOW TO COMPLY WITH YOUR AFS Claims handling and settling: How to comply with your AFS licence obligations This information sheet (INFO 253) is for anyone who provides claims handling and settling services for insurance productsregulated by ASIC.
ASIC REGULATORY PORTAL Industry funding fast facts. The Government’s industry funding arrangements for ASIC became law in 2017. Industry funding is an annual cycle. Between July and September/October each year, entities will need to log in to the portal and submit their industry funding metrics for the previous financial year.NEWS CENTRE
03 June 2021 21-121MR ASIC bans former Brisbane adviser for three years; 02 June 2021 21-120MR Forex CT ordered to pay $20 million penalty and sole director disqualified, fined $400,000; 01 June 2021 21-119MR Union Standard director and former responsible manager banned from providing financial services for 10 years, disqualified from managing corporations for five yearsAFS LICENSEES
AFS licensees Important notice: AFS licensees are now required to submit breach reports to us via the ASIC Regulatory Portal. The portal will replace existing submission channels. Visit our Changes to how AFS licensees report breaches page for more information. You must have an Australian financial services (AFS) licence to conduct a financialservices business.
21-120MR FOREX CT ORDERED TO PAY $20 MILLION PENALTY AND Wednesday 2 June 2021 21-120MR Forex CT ordered to pay $20 million penalty and sole director disqualified, fined $400,000 The Federal Court has ordered Forex Capital Trading Pty Ltd (Forex CT) pay a $20 million penalty for engaging in systemic unconscionable conduct, paying conflicted remuneration to its team leaders and account managers and failing to act in the best interests of its clients. ASIC REGULATORY PORTAL Industry funding fast facts. The Government’s industry funding arrangements for ASIC became law in 2017. Industry funding is an annual cycle. Between July and September/October each year, entities will need to log in to the portal and submit their industry funding metrics for the previous financial year. FIND A MEDIA RELEASE 21-119MR Union Standard director and former responsible manager banned from providing financial services for 10 years, disqualified from managing corporations for five yearsCREDIT LICENSEES
Credit licensees You must be covered by an Australian credit licence to engage in credit activities. If you engage in credit activities you will generally need to have an Australian credit licence (unless you are exempt or authorised to engage in those activities as a representative of a credit licensee). MASTER OF FINANCIAL ANALYSIS m.olynyk@latrobe.edu.au: COVERAGE GRAPH. TOPICS COVERAGE. Principles of Economics (FIN5POE)In this subject students are exposed to the economic way of thinking about decision making.The subject will provide discussion of micro and macro economic theories and principles and illustrate them by simple stylised examples. AUSTRALIAN COMPANY NUMBERS Australian Company Numbers Every company in Australia is issued with a unique, nine-digit number when registered. This is an Australian Company Number (ACN) and must be SIGN IN - ASIC REGULATORY PORTAL Welcome to the ASIC Regulatory Portal. If you haven't signed up for an account yet, please register for access to the portal. You need to register even if you use our other online services, such as the AFS licensees, Liquidators and ASIC Connect portals. 405 STATEMENT TO VERIFY FINANCIAL STATEMENTS OF A FOREIGN Form 405 Description: Statement to verify financial statements of a foreign company: Purpose: Form verifying attached financial statements and updating company details.Menu
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Natural disaster relief Assistance available to bushfire affected customers. Read December’s InFocus*
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* Tips and tools to help you manage your money * Search for unclaimed moneyNEWS CENTRE
* 08 January 2020 - MEDIA RELEASE20-005MR ASIC bans Northern NSW adviser for four years ASIC has banned Northern NSW-based financial adviser David O’Brien from providing financial services for four years following an ASICsurveillance. ...
* 07 January 2020 - MEDIA RELEASE20-004MR ASIC disqualifies three Gold Coast directors from managing companies ASIC has disqualified Larry James Matthews, Richard James Matthews and Rowena Ylaya Matthews, of Broadbeach, Queensland, from managingcorporations, ...
* 07 January 2020 - MEDIA RELEASE20-003MR ASIC further suspends the AFS licence of Halifax Investment Services ASIC has extended the suspension of the Australian financial services (AFS) licence held by Halifax Investment Services Pty Ltd (Halifax)until 8 ...
* 06 January 2020 - MEDIA RELEASE20-002MR Former Gold Coast businessman Anthony Silver charged with fraud Following an ASIC investigation, Mr Anthony Keith Silver (also known as Tony Silver) of Tasmania, has today appeared before the SouthportMagistrates ...
* 06 January 2020 - MEDIA RELEASE20-001MR ASIC bans Perth SMSFadviser
ASIC has banned Perth-based adviser Wayne Blazejczyk from providing financial services for five years for failure to meet best interestsobligations ...
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ASIC Regulatory Portal Pay now - business name renewals USE OUR ONLINE SERVICES - Please select - Business name holders Company officeholders Registered agents SMSF auditors AFS licensees AFS representatives Liquidators Shortsellers Credit licensees/representatives Auditors Market entities OFFERlist entry Some of the things you can do online:* Change addresses
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