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Showing 311 - 320 of 726 results for "Proceedings"

Former AMP adviser in enforceable undertaking

ELIZABETH MCARTHUR  |  MONDAY, 15 MAR 2021
... the Gold Coast - must comply with the enforceable undertaking she first entered in 2019. ASIC also commenced civil proceedings late last year, alleging Thorne took deliberate steps to avoid compliance with the court enforceable undertaking. Thorne was ...

Dodgy SMSF operator loses appeal

ELIZABETH MCARTHUR  |  FRIDAY, 12 MAR 2021
... to act honestly or with integrity and had failed to provide competent tax agent services. Cross argued in the AAT proceedings that the degree of dishonesty involved was lessened by the fact that ultimately, when audited, the SMSFs were all found to be ...

Court makes orders in ASIC versus TAL

KANIKA SOOD  |  WEDNESDAY, 10 MAR 2021
... after the insurer started its retrospective investigation. "TAL acknowledges the judgment of the Federal Court in the proceedings brought by ASIC involving a customer claim made in January 2014," a spokesperson for the company said. "We note the Court's ...

Link faces another lawsuit

KARREN VERGARA  |  TUESDAY, 9 MAR 2021
... has three months to respond to the letter. If Link does not agree to compensate investors, Leigh Day will commence proceedings to the High Court. Law firm Harcus Parker is also suing Link, alleging that Link failed to ensure investors could redeem their ...

Mainstream to be acquired for $170m

ELIZA BAVIN  |  TUESDAY, 9 MAR 2021
... the settlement amount will be paid within five days of receiving court approval. This matter did not involve legal proceedings against the US subsidiary," the fund administrator said.

ASIC takes Statewide Super to court

JAMIE WILLIAMSON  |  THURSDAY, 4 MAR 2021
... Statewide Super charged insurance premiums to members who didn't hold group cover. ASIC has commenced Federal Court proceedings against the South Australia-based industry superannuation fund, alleging that between May 2017 and June 2020 the fund ...

ASIC takes action against Rest

JAMIE WILLIAMSON  |  TUESDAY, 2 MAR 2021
The corporate regulator has commenced civil proceedings against the industry superannuation fund for misleading and deceiving members in relation to switching super funds. ASIC has taken Federal Court action against Rest for false or misleading representations ...

State Street loses Fearless Girl replica claim

KANIKA SOOD  |  TUESDAY, 2 MAR 2021
... Company and its local subsidiary State Street Global Advisors Australia Limited in 2019 initiated trademark infringement proceedings against Maurice Blackburn and the two superannuation funds. The last hearings were held in February 2020, but the court ...

ASIC drags CommSec to court

ELIZABETH MCARTHUR  |  MONDAY, 1 MAR 2021
ASIC has commenced civil proceedings against CommSec and AUSIEX in the Federal Court. CommSec overcharged brokerage fees to customers on 120,933 occasions totalling $4,352,194 between August 2010 and February 2020, ASIC alleges and CommSec has admitted. ...

ASIC extends olive branch to inside traders

KANIKA SOOD  |  WEDNESDAY, 24 FEB 2021
... conduct in financial services - in exchange for immunity. ASIC says it can offer such individuals immunity from civil proceedings, while working with the Commonwealth Director of Public Prosecution (CDPP) on criminal immunity. This is for some contraventions ...