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Showing 131 - 140 of 190 results for "Sarah Court"

Court fines ANZ for dodgy introducer program

KARREN VERGARA | MONDAY, 13 MAR 2023

... agreed that its Customer Fairness Advisor will conduct a review of its Home Loan Introducer Program." ASIC deputy chair Sarah Court commented: "By failing to have robust compliance and training processes in place, ANZ made it possible for third party ...

Mercer embroiled in greenwashing allegations

KARREN VERGARA | TUESDAY, 28 FEB 2023

... certain industries like fossil fuels are said to be excluded, this promise must be upheld," said ASIC deputy chair Sarah Court. "This is the first time ASIC has taken an Australian entity to court regarding alleged greenwashing conduct, and it reflects ...

Advice group convicted of hawking

JAMIE WILLIAMSON | WEDNESDAY, 22 FEB 2023

... make decisions on their super that they didn't plan to make or don't suit their needs," ASIC deputy chair Sarah Court said. "Reforms to the anti-hawking regime were in response to clear consumer harm when it came to the unsolicited calls involving ...

Mining company shares manipulator sentenced

JAMIE WILLIAMSON | TUESDAY, 7 FEB 2023

... 2015, with each of the people the subject of charges being sentenced to terms of imprisonment," ASIC deputy chair Sarah Court said. "ASIC is committed to acting against conduct that damages the integrity of Australia's markets. Market manipulation undermines ...

More DASS complainants flock to AFCA

KARREN VERGARA | MONDAY, 6 FEB 2023

... likely to meet best interest duty obligations and can expose clients to a risk of capital loss," ASIC deputy chair Sarah Court said at the time. The court imposed a total of $10.38 million in penalties on Dixon Advisory. However, Dixon Advisory, which ...

ASIC takes action against more greenwashing

RACHEL ALEMBAKIS | TUESDAY, 10 JAN 2023

... potentially misleading consumers as to the extent of the investment screening being implemented," said ASIC deputy chair Sarah Court. "As consumers increasingly look to more sustainable and ethical investing, including via their superannuation, ASIC ...

Federal Court finds against finfluencer

JAMIE WILLIAMSON | MONDAY, 9 JAN 2023

... enforcement action if they are carrying on a business of providing financial services without a licence," ASIC deputy chair Sarah Court said. "Financial services laws exist to protect investors if something goes wrong. The individuals who paid Mr Scholz ...

ASIC takes civil action against Firstmac

CASSANDRA BALDINI | FRIDAY, 16 DEC 2022

... that customers seeking an investment timeframe of two years or less were not in the target market. ASIC Deputy chair Sarah Court said the regulator is concerned that Firstmac's term deposit customers were exposed to the risk that they might obtain a ...

Adviser imprisoned for super fraud

CHLOE WALKER | THURSDAY, 15 DEC 2022

... has repaid several consumers from funds held in accounts previously frozen by the Federal Court. ASIC deputy chair Sarah Court said that ASIC was particularly concerned by Goel's conduct, which had many characteristics of a scam and a direct and adverse ...

ASIC proceedings name Pendal board member

ANDREW MCKEAN | TUESDAY, 13 DEC 2022

... former directors and executives of Star Entertainment Group, including a Pendal Group director. ASIC deputy chair Sarah Court argued that the Star's board and executives failed to give sufficient focus to the risk of money laundering and criminal ...

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Federal Court lifts Merhi's travel ban

KARREN VERGARA

Former financial adviser Ferras Merhi is now free to travel as the Federal Court lifted travel restraint orders imposed one year ago.

Hostplus delivers double-digit FY26 returns

RIDDHIMA TALWANI

Hostplus Balanced (MySuper) option delivered members 10.8% for the financial year 2025-26, while the Indexed Balanced option and the High Growth option returned members 11.06% and 12.61% respectively.

ASIC levy estimates jump 19% as regulator ramps up funding

VINNY VUCAGO

ASIC has lifted its estimated industry funding levy by almost 20% for 2025-26, with regulated entities expected to shoulder $400.5 million in regulatory costs as the corporate watchdog expands its supervision and enforcement activities.

GQG bleeds over US$7bn in FUM in June

MATTHEW WAI

Despite recording positive investment performance, GQG Partners observed a significant outflow, with net outflows of $4.62 billion recorded in the month of June, as FUM slipped to $225 billion at June end, compared to $235.5 billion in the month prior.

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