Australian Securities and Investments Commission – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 25 Sep 2024 20:15:17 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Australian Securities and Investments Commission – Investment Executive https://www.investmentexecutive.com 32 32 Australian court sanctions Vanguard greenwashing https://www.investmentexecutive.com/news/from-the-regulators/australian-court-sanctions-vanguard-greenwashing/ Wed, 25 Sep 2024 19:43:07 +0000 https://www.investmentexecutive.com/?p=493401 Fund giant fined over misleading information about fund's ESG screens

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]]> ASIC calls for distribution improvements https://www.investmentexecutive.com/news/from-the-regulators/asic-calls-for-distribution-improvements/ Tue, 10 Sep 2024 18:09:18 +0000 https://www.investmentexecutive.com/?p=492387 Poorly designed KYC questionnaires at the heart of recent enforcement actions

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]]> ASIC tackles greenwashing risks https://www.investmentexecutive.com/news/from-the-regulators/asic-tackles-greenwashing-risks/ Wed, 28 Aug 2024 17:59:57 +0000 https://www.investmentexecutive.com/?p=491777 Regulator details anti-greenwashing efforts, anticipates new disclosure demands

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]]> ASX misled market, ASIC alleges in lawsuit https://www.investmentexecutive.com/news/from-the-regulators/asx-misled-market-asic-alleges-in-lawsuit/ Wed, 14 Aug 2024 18:59:45 +0000 https://www.investmentexecutive.com/?p=491116 Exchange overpromised, under-delivered on clearing system replacement

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]]> ASIC sanctions Vanguard for alleged greenwashing https://www.investmentexecutive.com/news/from-the-regulators/asic-sanctions-vanguard-for-alleged-greenwashing/ Fri, 02 Dec 2022 18:20:39 +0000 https://www.investmentexecutive.com/?p=456809 Underlying index failed to screen out tobacco sellers, regulator charged

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]]> Australian regulator extends binary options ban to 2031 https://www.investmentexecutive.com/news/from-the-regulators/australian-regulator-extends-binary-options-ban-to-2031/ Tue, 06 Sep 2022 17:21:42 +0000 https://www.investmentexecutive.com/?p=450765 A report found the ban is effective in preventing retail investors from losing money

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]]> Crypto and FOMO lure retail investors, ASIC finds https://www.investmentexecutive.com/news/from-the-regulators/crypto-and-fomo-lure-retail-investors-asic-finds/ Thu, 11 Aug 2022 18:37:24 +0000 https://www.investmentexecutive.com/?p=449493 Only equities outrank crypto in retail portfolios, Australian research says

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]]> The high price of industry misconduct https://www.investmentexecutive.com/news/from-the-regulators/the-high-price-of-industry-misconduct/ Mon, 14 Feb 2022 20:02:38 +0000 https://www.investmentexecutive.com/?p=439273 ASIC reports faulty advice compensation tops A$3 billion

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]]> Regulatory technology feasibility study launched https://www.investmentexecutive.com/news/from-the-regulators/regulatory-technology-feasibility-study-launched/ Fri, 21 Jan 2022 20:46:38 +0000 https://www.investmentexecutive.com/?p=437996 The Australian Securities and Investments Commission is looking at "regtech" technology solutions to monitor corporate disclosure

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]]> ASIC wraps industry inquiry with final lawsuit https://www.investmentexecutive.com/news/from-the-regulators/asic-wraps-industry-inquiry-with-final-lawsuit/ Thu, 09 Dec 2021 21:53:48 +0000 https://www.investmentexecutive.com/?p=435711 Case against ANZ marks end of Royal Commission investigations

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