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Showing 11 - 20 of 342 results for "Investigations"

ASIC welcomes new chair

KARREN VERGARA | TUESDAY, 3 FEB 2026

... "ASIC's role in protecting everyday Australians has rarely been more important, as the regulator continues its investigations into the Shield and First Guardian schemes. We look forward to working with Sarah to strengthen deterrence against financial ...

Rodney Forrest handed prison sentence for $3m insider trading

ELIZA BAVIN | TUESDAY, 27 JAN 2026

... determined to keep it that way." Since 2009, 46 people have been criminally convicted of insider trading following ASIC investigations, including senior executives and company chairs. The maximum penalty for the offence of insider trading is imprisonment ...

Court blocks Merhi from financial services

KARREN VERGARA | TUESDAY, 28 OCT 2025

... as well as any suspected misconduct by officers. The latest interim injunctions form part of ASIC's ongoing investigations into the Shield Master Fund and First Guardian Master Fund. Merhi, who was also the principal of Venture Egg and Financial ...

ASIC bans adviser attached to UGC, MWL

ELIZA BAVIN | THURSDAY, 23 OCT 2025

... of looking at," Court said at the time. "Twenty of those have already had court action, 50 of them are current investigations, and 70 more we have got on the list."

Feature: Compliance | Passing the buck

ELIZA BAVIN | WEDNESDAY, 15 OCT 2025

... retirement savings of thousands of Australians have been lost in the First Guardian and Shield failures and, while investigations are ongoing, the blame for their collapse and the misconduct that led to it is being passed around like a football on a ...

ASIC helping with law reform over Shield, First Guardian

ELIZA BAVIN | FRIDAY, 10 OCT 2025

... Guardian and Shield Master Fund matters have received significant media coverage in recent months. We have 24 ongoing investigations into these matters, with more than 40 staff dedicated to them. We have appeared in court more than 45 times in relation ...

ASIC reports 50% jump in investigations in FY25

RIDDHIMA TALWANI | THURSDAY, 9 OCT 2025

ASIC has reported an increase of 50% in investigations and an almost 20% rise in new civil enforcement proceedings in the financial year 2025. In its report for the full year, ASIC highlighted a ramp up in its enforcement activity and work to address ...

ASIC sues Fiducian for ESG failures

ELIZA BAVIN | FRIDAY, 3 OCT 2025

... standards, are held to account." In response to the court filing, Fiducian said it has fully cooperated with ASIC's investigations to date. "[Fiducian] is closely reviewing the court documents and the allegations made by ASIC," it said. "As the matter ...

Former Income Asset Management staffer embezzles $1.5m

KARREN VERGARA | TUESDAY, 23 SEP 2025

... regulators, shareholders and clients. The company will update the market as required and upon the conclusion of its investigations," IAM said. The incident paused trading on the ASX on September 18. As the pause lifted this morning, its share price dropped ...

ASIC chair calls it quits

KARREN VERGARA | FRIDAY, 19 SEP 2025

... to have been given the opportunity to rebuild and renew the agency," he said. "From the doubling in ASIC's investigations numbers and 20% lift in civil enforcement proceedings over the last five years, to the increased funding we have secured to ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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