Search Results | Showing 11 - 20 of 3641 results for "Action" |
| | | ... subsequent agreement from Link to settle the enforcement case and provide compensation to those affected. In a separate action, the FCA issued warning notices to fund manager Neil Woodford and WIM proposing to take action against them for their conduct ... |
| | | | In an annual letter to shareholders, J.P. Morgan chief executive Jamie Dimon expressed concern about the "undue influence" of proxy advisors, particularly ISS and Glass Lewis. Dimon said asset managers and institutional investors should base their voting ... |
| | | | ASIC has appealed the Federal Court's decision to dismiss its proceedings against Finder Wallet. The corporate watchdog claimed that Finder Wallet provided unlicensed financial services, breached product disclosure requirements, and failed to comply ... |
| | | | ... surprise many Australian investors had been using international ETFs that were listed on the ASX to get a slice of that action. "As well as investing in ETFs that purely focus on US equities, a large amount of Australian investors' capital has also ... |
| | | | ... don't know what brought this about. We will demonstrate unless (the charges) are dropped.... there may be a further action to demonstrate malicious prosecution.'" The day before he was arrested, Mawhinney published an article on the Mayfair 101 ... |
| | | | ... Representation' and the 'Repayment Representation', which ASIC relied upon when it went after the investment group in 2020. That action from ASIC resulted in the derailment of the $1.6 billion Dunk Island and Mission Beach development, Mayfair 101 said. ... |
| | | | The Federal Court has delayed approving the $16 million class action settlement against Dixon Advisory & Superannuation Services (DASS) as it seeks more information. The class action led by Shine Lawyers, which was also brought against former Dixon ... |
| | | | Fines for alternative fund managers for breaking regulations are expected to rise, according to new research commissioned by Ocorian. The international study among fund managers at private equity, venture capital and real estate firms revealed 79% were ... |
| | | | ... on the latest verdict, ASIC chair Joe Longo said: "The outcome in this case demonstrates ASIC's commitment to taking action to prevent its investigations being delayed by baseless challenges to its powers." |
| | | | ... was wrong, but it did say that there was legal uncertainty in the area and that it wasn't going to be taking legal action itself to enforce that," she said. "ASIC did note however, that that didn't eliminate legal risks for financial firms who ... |
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