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A judge has dismissed court proceedings brought by the corporate regulator against superannuation trustee Diversa over its alleged failure to oversee a now-banned financial adviser, ruling that the knowledge of downstream entities could not be attributed to Diversa.
PricewaterhouseCoopers' former head of international tax Peter-John Collins has been banned by the corporate regulator from providing financial services for eight years.
Embattled wealth guru Dominique Grubisa has succeeding in overturning banning orders from the corporate regulator, with a tribunal finding she did not pose a threat to consumers or the financial services market.
A judge has found that ANZ breached continuous disclosure rules by failing to disclose a $750 million bailout by underwriters Deutsche Bank, Citigroup and JP Morgan during its $2.5 billion equity capital raising in August 2015.
The Australian Securities and Investments Commission is seeking to restrain payday lenders Cigno and BSF Solutions from enforcing loan fees against 10,000 customers.
The former CEO of collapsed Sydney stockbroking firm BBY Limited has been charged with two counts of aiding, abetting, counselling or procuring fraud.
The ASX-listed Shine Lawyers has earned marks for improvement in a review by ASIC of its disclosures relating to interest on litigation funding loans, the corporate regulator said Thursday.
Finder Wallet has argued it did not need a financial services licence to sell its crypto product Finder Earn because it was not money, but instead allowed customers to purchase an asset and acted as a marketing tool to funnel users to its app.
The corporate regulator has again initiated proceedings against Gold Coast-based BHF Solutions and Cigno for allegedly providing credit without a licence after the lenders failed to convince the Full Court that their services fell outside the scope of the Credit Act.
The Australian Securities and Investments Commission has filed an appeal after a judge ordered ACBF Funeral Plans to pay $1.2 million for misleading its First Nations customers, less than one-fifth of what the regulator sought.