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Showing 201 - 210 of 4120 results for "Conduct"

Decade-long ban for UGC director upheld

MATTHEW WAI  |  WEDNESDAY, 13 AUG 2025
The Administrative Review Tribunal has upheld ASIC's decision to ban United Global Capital (UGC) director Joel James Hewish for 10 years, after he lodged a review of the ban handed down in June 2024. The Tribunal conducted two hearings since the application ...

Former Kerr Neilson staffer pleads guilty to insider trading

KARREN VERGARA  |  WEDNESDAY, 13 AUG 2025
... jurisdiction, ASIC said. Forrest is charged with two offences contrary to s1043A (1) of the Corporations Act 2001 - prohibited conduct by person in possession of inside information, while the other is contrary to s911's providing unlicensed financial ...

CSC quashes internal bullying, sexism claims

MATTHEW WAI  |  MONDAY, 11 AUG 2025
... Torney said CSC is taking "active steps" to address its gender pay gap as priority, engaging with an external party to conduct an audit this year. Financial Standard has reached out to CSC for further comment. Torney said every complaint is thoroughly ...

Four men charged over sophisticated bond scam

MATTHEW WAI  |  FRIDAY, 8 AUG 2025
... transferred to offshore bank accounts or to a crypto exchange. Tsalikidis was believed to have been engaged in similar conduct and aided the three during the process. As a result, Podaridis and Floropoulos were each charged with 28 offences of dealing ...

FCA fines Neil Woodford, WIM $94m

KARREN VERGARA  |  WEDNESDAY, 6 AUG 2025
... fundie' Neil Woodford and his defunct company have been collectively fined more than £45 million ($94m) by the Financial Conduct Authority (FCA). The regulator fined Woodford £5.89 million ($12.1m) and banned him from being employed in senior manager ...

Guilty plea entered in Ponzi scheme case

JAMIE WILLIAMSON  |  TUESDAY, 5 AUG 2025
... financial services business without and AFSL and duped investors out of nearly $2 million has pleaded guilty to dishonest conduct and dealing with proceeds of crime. Ashley Arandez pleaded guilty to dishonest conduct, unlicensed conduct, and dealing ...

ASIC calls out trustees 'passing the buck' on super switching

KARREN VERGARA  |  THURSDAY, 31 JUL 2025
... sales referral source, you should have in place adequate monitoring and supervision arrangements to detect concerning conduct and to make sure your advisers are acting in the best interests of their clients."

Former adviser charged over clients' near $1m loss

MATTHEW WAI  |  WEDNESDAY, 30 JUL 2025
... Professional Wealth Investments (PWI) appeared in the Downing Centre Local Court yesterday on six charges of dishonest conduct in relation to a financial product, contrary to s 1041G of the Corporations Act and one charge of the same offence committed ...

ASX updates waiver disclosure rules

KARREN VERGARA  |  MONDAY, 28 JUL 2025
... of work we are doing to review listing rules as they relate to shareholder approval requirements. We are continuing to conduct research and have been engaging stakeholders to help us refine the scope of a consultation paper we are planning to issue on ...

Macquarie suffers first strike on pay package

KARREN VERGARA  |  FRIDAY, 25 JUL 2025
... in recent years. Currently, ASIC is suing Macquarie Securities, the broking arm, for repeated and systemic misleading conduct in its short-sale reporting to the market operator, supposedly misreporting millions of trades for 14 years. Another action ...