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Showing 161 - 170 of 803 results for "Judge"

Mining company shares manipulator sentenced

JAMIE WILLIAMSON  |  TUESDAY, 7 FEB 2023
... trades in the shares with the purpose of inflating their price and encouraging additional investors to get involved. The judge noted: "Compliance with [the prohibition on market manipulation] is vital to maintain market integrity and promoting the confident ...

Adviser sentenced over accessing client accounts

CHLOE WALKER  |  FRIDAY, 3 FEB 2023
... clients. The former adviser pleade guilty to the charges on September 16 last year. In sentencing Wertheimer, her honour Judge Gillan noted the persistent nature of the former adviser's conduct and the importance of general deterrence for offences ...

Federal Court finds against finfluencer

JAMIE WILLIAMSON  |  MONDAY, 9 JAN 2023
... courses on share trading and recommending stocks on Instagram. The court handed its decision down in December, with the judge saying the advice provided by Scholz "formed part of the continuous and systemic business operations by which Mr Scholz derived ...

Adviser imprisoned for super fraud

CHLOE WALKER  |  THURSDAY, 15 DEC 2022
... trust." Goel had earlier pleaded guilty to two charges of dishonest conduct, and his pleas were taken into account by the Judge when handing down sentence. The matter was prosecuted by the commonwealth director of public prosecutions.

Super fund board renewals need work: APRA

JAMIE WILLIAMSON  |  MONDAY, 28 NOV 2022
APRA deputy chair Margaret Cole says there is "material scope" for improvement in super fund board renewal strategies. In a speech to the AIST Chairs Forum, Cole outlined the regulator's expectation of trustee boards, saying the issue of board governance ...

Winners are grinners: FPA awards

CHLOE WALKER  |  WEDNESDAY, 23 NOV 2022
The Financial Planning Association of Australia (FPA) announced the winners of the 2022 FPA Awards and the Gwen Fletcher Memorial Award at the FPA Professionals Congress in Sydney yesterday. Now in its 10th year, the FPA Awards recognise individuals ...

Former van Eyk Research chief sentenced

JAMIE WILLIAMSON  |  WEDNESDAY, 16 NOV 2022
... his duties with the intention of directly or indirectly obtaining a personal advantage. In handing down the sentence, the judge took into consideration the fact that Thomas had already been banned from managing a corporation for five years and his guilty ...

ASIC appeals CFS, CBA decision

JAMIE WILLIAMSON  |  THURSDAY, 27 OCT 2022
ASIC is appealing the Federal Court's ruling in its conflicted remuneration case against Commonwealth Bank and Colonial First State. The case related to the Essential Super product, with ASIC alleging the two entities breached conflicted remuneration ...

Jarden restructures, shuffles team

JAMIE WILLIAMSON  |  FRIDAY, 21 OCT 2022
Having grown at a faster rate than anticipated, Jarden has implemented a new business structure which has required several changes to its management team, including a new role for the chief executive. Jarden said it set itself a target in 2016 of quadrupling ...

James Mawhinney sues ASIC, deputy chair

JAMIE WILLIAMSON  |  TUESDAY, 18 OCT 2022
... ban on the grounds that he was denied procedural fairness in the first trial, with the court agreeing that the presiding judge at the time based the judgement on findings of contraventions that ASIC had not sought. The Full Federal Court has ordered ...