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regulatory
26 results tagged regulatory:
ANZ fined $240 million for bond trading, retail misconduct
ANZ has copped a whopping $240 million fine for bank-wide "unconscionable conduct" that includes admitting it was guilty of misleading the government over the $14 billion bond scandal.
Why ASIC is suddenly ramping up its investigations
After copping heat during the banking royal commission, ASIC has ramped up its efforts, with investigations up nearly 50% in a year in a push to restore accountability.
AUSTRAC cracks down on Binance over money laundering risks
AUSTRAC has directed Binance Australia to appoint an external auditor after "serious concerns" were identified from its independent review.
Zip’s stunning comeback: Time for a $14 revival?
Just when the market had written it off, Zip Co Ltd (ASX: ZIP) has come roaring back to life. The real question is: are we witnessing the early stages of a full-blown revival?
ASIC sues Macquarie Securities over ‘misleading conduct’
Macquarie Securities, the broking arm of Macquarie Group, is under fire for allegedly misreporting millions of trades over 14 years.
Charges brought against ASX pump and dump group
Four people have been charged after ASIC identified them as key members of a Telegram group named the 'ASX Pump and Dump Group'.
ASIC issues first stop order for crowd funding
ASIC has issued an interim stop order preventing Hirehood from offering securities under its crowd-sourced funding offer document.
Aussies compensated for dodgy financial advice
The Compensation Scheme of Last Resort has made its first payments to four victims totalling more than $360,000, three of which related to bad financial advice.
AFCA to expel Dixon Advisory
The Australian Financial Complaints Authority is set to kick out Dixon Advisory in June, and will no longer accept victim complaints about the company.
Former adviser jailed, permanently banned for defrauding clients
Former Sunshine Coast financial adviser Brett Gordon diverted more than $650,000 of client funds to cover personal debts and expenses.
Money Newsletter
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