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Showing 271 - 280 of 1640 results for "Investigation"

Investors livid over fresh portfolio valuation: Mayfair 101

JAMIE WILLIAMSON  |  WEDNESDAY, 10 JAN 2024
... spent to "conceal the damage caused by the regulator's misguided campaign." Mayfair 101 has long held that ASIC's investigation into the group and its managing director James Mawhinney was unfounded and claims the speed at which it was carried out is ...

ASIC cracks down on Prospero for reporting failures

CHLOE WALKER  |  WEDNESDAY, 10 JAN 2024
... corporate regulator said. ASIC has been investigating Prospero for suspected breaches of the Corporations Act. Its investigation commenced on 16 November 2023 and is looking back as far as 1 March 2021. In December, Prospero was requested by ASIC to ...

Court finds Canna Campbell infringed trademark

KARREN VERGARA  |  MONDAY, 8 JAN 2024
... objectivity, and fairness, Korolak said. "As a result of this litigation, a complaint has been raised and there is an open investigation by the FAAA into this matter," she said. Korolak said she will pursue various orders against Campbell with respect ...

Former director sentenced to over four years imprisonment

ANDREW MCKEAN  |  THURSDAY, 21 DEC 2023
... prospects of rehabilitation. This matter was prosecuted by the Commonwealth Director of Public Prosecutions following an investigation and referral by ASIC.

Federal Court appoints receivers to investigate Brite Advisors

ANDREW MCKEAN  |  MONDAY, 18 DEC 2023
... initial findings, particularly an unexplained US$69 million discrepancy in client funds, necessitating a more thorough investigation. The court re-made asset preservation orders to restrict Brite's operations, however authorised the receivers to manage ...

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.