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21 May 2008, 10:36 pm
ASIC has taken action over the insurance sales practices of GE Money's Hallmark companies and the debt collection practices of the GE Money consumer credit businesses.Hallmark insurance advice licence conditions imposed ASIC has imposed additional conditions on the Australian financial services license (AFSL) of GE Money's Hallmark General Insurance Company Ltd and Hallmark Life Insurance Company Ltd after those companies failed to comply with… [read post]
21 Dec 2009, 5:03 am
ASIC has released Consultation Paper 129 Non-standard margin lending facilities – improving disclosure for retail clients (CP 129) which sets out the key features and risks which ASIC proposes should be disclosed in a Product Disclosure Statement (PDS). [read post]
20 Dec 2009, 7:03 pm
ASIC has released Consultation Paper 129 Non-standard margin lending facilities – improving disclosure for retail clients (CP 129) which sets out the key features and risks which ASIC proposes should be disclosed in a Product Disclosure Statement (PDS). [read post]
20 Mar 2011, 12:44 pm
ASIC has announced that UBS Wealth Management Australia Ltd (UBS WMA) has admitted that between January 2006 and 31 March 2010, it failed to provide Statements of Advice to 764 retail clients who invested in a category of financial products classified by UBS WMA as structured products. [read post]
26 Oct 2023, 10:57 pm
ASIC sues crypto exchange alleging design and distribution failures On 20 September 2023, ASIC commenced proceedings in the Federal Court of Australia against Bit Trade Pty Ltd (Bit Trade), the provider of the Kraken crypto exchange, alleging that Bit Trade failed to comply with the design and distribution obligations relating to financial products for retail clients, for the margin trading product it offers to Australian customers. [read post]
16 May 2011, 2:25 pm
Ensure there is adequate disclosure of key legal information 4. [read post]
18 Jul 2019, 8:51 pm
In contrast, in The Environmental Group Ltd v Peter Bowd[5], a CEO claimed he was subjected to an investigation into his alleged misconduct, suspended and then sacked because he was a ‘whistle-blower’ – he had raised concerns in a report to the Board, and then lodged a complaint with ASIC, about alleged financial irregularities. [read post]
23 Oct 2023, 8:53 am
Australia Pty Ltd. v. [read post]
20 Jun 2008, 8:07 am
: (IP finance), Technical assistance a key point of discussion at TRIPS Council: (Intellectual Property Watch), WIPO turmoil as new DG’s future comes under threat: (IAM), WIPO to host inter-regional forum to explore strategies to enhance development and service-orientation of IP offices: (WIPO), Controversy over lack of transparency and overreaching enforcement provisions in ACTA: (Spicy IP), (Spicy IP) Global - Trade Marks / Domain Names / Brands World… [read post]
29 Dec 2021, 12:00 pm
As long-time readers of this blog know, one of the long-range concerns in the D&O insurance industry is the possible exposures of corporate directors and officers to liability claims arising from climate change (as discussed most recently here). [read post]
6 Dec 2019, 7:10 am
KEY POINTS FOR TRADERS Generally no licence is required for fund investors lending to Australian borrowers. [read post]
8 Oct 2020, 8:56 am
Since the 1997 Wallis Inquiry, the Reserve Bank’s Payments System Board has been the chief regulator of the payments system, although APRA, ASIC and the ACCC also exercise licensing and other responsibilities across the sector. [read post]
