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The Administrative Appeals Tribunal (AAT) has upheld ASIC’s 2015 decisions in relation to former Provident Capital Limited director Mr Michael Roger . The Federal Court has ordered RI Advice Group Pty Ltd to pay a $6 million penalty for failing to take reasonable steps to ensure that its authorised . ASIC has released its quarterly update for 1 October to 31 December 2021 (REP 717). During the quarter we completed investigations into matters . 31 January 2022. ASIC has released findings from a high-level review of the governance practices of 10 large responsible entities of managed . Mr Jin Xi Li, of Caloundra, Queensland, has pleaded guilty to two insider trading offences when trading in Contracts for Difference (CFD) of PanAust .
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