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Showing 241 - 250 of 1605 results for "Investigation"

Former adviser misled ASIC during investigation: Court

KARREN VERGARA  |  MONDAY, 18 DEC 2023
... adviser was charged with two counts of providing false or misleading information to ASIC during the regulator's investigation into his misconduct. Kristofer Ridgway allegedly provided false information during ASIC's investigation into his role ...

What you read in 2023

JAMIE WILLIAMSON  |  FRIDAY, 15 DEC 2023
... cyber-attack that saw members' data compromised. NGS Super said its network was shut down immediately and an investigation was commenced, alongside comprehensive cybersecurity protocols and enhanced network monitoring. Nine months on, APRA took action ...

Boards unprepared for new workplace laws: Research

ROSE MARY PETRASS  |  THURSDAY, 14 DEC 2023
New research finds most directors are concerned their boards aren't fully ready to meet new workplace sexual harassment laws introduced this week. Effective December 12, the Australian Human Rights Commission is now enforcing the Positive Duty under ...

FSCP issues another registration prohibition order

KARREN VERGARA  |  WEDNESDAY, 13 DEC 2023
... cases deemed to be less serious in misconduct. The panel typically does not disclose the names of advisers under investigation unless the outcome is required to be displayed on the Financial Advisers Register.

FSCP serves up registration prohibition order

KARREN VERGARA  |  MONDAY, 11 DEC 2023
... cases deemed to be less serious in misconduct. The panel typically does not disclose the names of advisers under investigation unless the outcome is required to be displayed on the Financial Advisers Register.

'Significant deficiencies' lead APRA to act against NGS Super

JAMIE WILLIAMSON  |  FRIDAY, 8 DEC 2023
... were only accessed for a short period. At the time, NGS Super said its network was shut down immediately and an investigation was commenced, alongside comprehensive cybersecurity protocols and enhanced network monitoring. Today, APRA said the incident ...

ASIC forced to pay James Mawhinney's legal costs

JAMIE WILLIAMSON  |  TUESDAY, 28 NOV 2023
... at that time. Mawhinney has accused ASIC of pursuing him unfairly, previously stating that the speed at which the investigation was initiated and carried out is "suspicious." It came on the back of a "spidey-sense" email exchange between ASIC deputy ...

ASIC investigates iExtend over possible unlicensed conduct

CHLOE WALKER  |  THURSDAY, 23 NOV 2023
... operating without an AFSL. The undertaking also relates to iExi Pty Ltd, which trades as iExtend. Documents show the investigation commenced in June last year after concerns were raised that the life insurance start-up was operating without a licence ...

SEC sues Kraken exchange again

CASSANDRA BALDINI  |  WEDNESDAY, 22 NOV 2023
... Emergency Economic Powers Act (IEEPA). Binance will fork out $4 billion to resolve the Justice Department's investigation and Zhao, who has also pleaded guilty to failing to maintain effective anti-money laundering, will also step down from the top ...

Nominations open in FS Sustainability Power50

RACHEL ALEMBAKIS  |  TUESDAY, 14 NOV 2023
FS Sustainability 's ESG Power50 nominations are now open, searching for the most influential ESG professionals working at ASX-listed companies. Building on the success of the 2023 ESG Power50 list, readers of FS Sustainability along with FS Super ...