Search Results | Showing 161 - 170 of 2510 results for "Court" |
| | | ... appealing the Federal Court's decision to bar him from dealing in financial products for 15 years. Last month, the Federal Court upheld a previous decision to ban Mawhinney from receiving or soliciting funds in connection with a financial product ... |
| | | | ... manager has been sued for alleged mismanagement of climate risk. In July 2018, an individual member took super fund Rest to court, claiming it was unclear what the fund was doing in response to climate change. In 2020, the case was dismissed after Rest ... |
| | | | ... been banned from working in financial services after ASIC successfully obtained interim restraining orders from the Federal Court. Yesterday, Justice Moshinsky restrained Merhi "through his servants, agents or employees" from carrying on any business ... |
| | | | ... gatekeepers, and when they fail in their duties, the consequences for investors can be severe," ASIC deputy chair Sarah Court said. The AFCA membership of UGC has been temporarily reinstated so that impacted investors can make complaints through until ... |
| | | | ... investors. The move comes at the fallout of the Shield Master Fund. ASIC and Macquarie are now battling it out in the Federal Court as the regulator alleges MIM did not act efficiently, honestly and fairly when it failed to place Shield on a watch list. ... |
| | | | ... services law," ASIC said. The banning order took effect from 25 August 2025. Last month, ASIC deputy commissioner Sarah Court told a parliamentary committee that the regulator has identified around 140 financial advisers who were involved in super switching ... |
| | | | The Federal Court has dismissed ASIC's claims that a former Freedom Insurance director and staff member were engaged in shocking and harmful sales tactics. Judge Goodman did not accept ASIC's claims that former director Keith Cohen and quality ... |
| | | | ... Corporations Act. This month, both Netting and Eastwood were acquitted of all charges following a trial in the District Court of South Australia. Financial Standard understands Eastwood was dismissed by the jury while Netting made a successful no case ... |
| | | | ... demonise all financial advisers. There's a lot of blame to go around here," Longo says. However, deputy commissioner Sarah Court did note that around 140 advisers are on an internal list at ASIC that have either had action brought against them, are ... |
| | | | ... its risk management framework, this time relating to anti-money laundering. In October of the following year, the Federal Court ordered Westpac to pay a $1.3 billion penalty for its breaches of the Anti-Money Laundering and Counter-Terrorism Financing ... |
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