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Showing 361 - 370 of 1606 results for "Investigation"

ASIC succeeds in application to liquidate Ascent

CASSANDRA BALDINI  |  MONDAY, 6 JUN 2022
... the solvency, likely return to creditors and an opinion on whether Ascent has kept adequate financial records. The investigation continues and the matter will return to court in June.

DWS chief resigns amid greenwashing claims

JAMIE WILLIAMSON  |  THURSDAY, 2 JUN 2022
... Frankfurt by German police and members of the German regulator, BaFin. The raid was conducted as part of an ongoing investigation into allegations of greenwashing by the group's former chief sustainability officer. There is currently two investigations ...

Deutsche Bank, DWS raided over greenwashing

JAMIE WILLIAMSON  |  WEDNESDAY, 1 JUN 2022
The offices of DWS and Deutsche Bank have been raided by German police as part of an ongoing investigation into allegations of extensive greenwashing. The investigation by the German regulator, BaFin, aligns to that of the US Securities and Exchange ...

BNY Mellon subsidiary to pay US$1.5m over ESG misstatements

CASSANDRA BALDINI  |  TUESDAY, 24 MAY 2022
... that BNY Mellon Investment Adviser promptly undertook remedial acts and cooperated with Commission staff in its investigation. The Division of Enforcement's Climate and ESG Task Force was formed in March 2021, and among other things, it analyses disclosure ...

Tesla axed from the S&P 500 ESG index

ANDREW MCKEAN  |  THURSDAY, 19 MAY 2022
... discrimination and poor working conditions at Tesla's Fremont factory. This same analysis questioned Tesla's handing of an investigation that related to multiple deaths and injuries linked to its autopilot vehicles. "While Tesla may be playing its part ...

Former adviser sentenced over dishonesty

JAMIE WILLIAMSON  |  TUESDAY, 17 MAY 2022
... a three-year correctional order, including home detention, for providing fabricated evidence as part of an ASIC investigation. Ezzat-Daniel Nesseim was sentenced to a three-year intensive correctional order after he was found to have repeatedly attempted ...

Charges laid in lengthy ASIC investigation

JAMIE WILLIAMSON  |  MONDAY, 16 MAY 2022
... has been investigating Howard for about eight years. He was permanently banned by the regulator in 2016 after an investigation found he had used more than $1.8 million in client funds for his own benefit and that of others. This included paying for cosmetic ...

NAB evades AUSTRAC fine for non-compliance

ANDREW MCKEAN  |  MONDAY, 2 MAY 2022
... breaches, NAB has accepted an enforceable undertaking from AUSTRAC without pecuniary punishment. AUSTRAC opened the investigation into the bank as it had identified concerns about its AML-CTF program, systems and controls. The regulator subsequently ...

Modern Slavery Act needs strengthening: Panel

RACHEL ALEMBAKIS  |  THURSDAY, 14 APR 2022
Australia's Modern Slavery Act is under review for impact and effectiveness, and investors have a role to play in both potentially strengthening the statutory obligations as well as impacting on an issue that is getting worse globally. A panel of ...

ASIC imposes travel restraint orders against ex-director

ANDREW MCKEAN  |  WEDNESDAY, 13 APR 2022
... trustee in the bankruptcy deliver his passport to the Sydney Registry of the Federal Court. ASIC stated that their investigation into McCabe is ongoing. The matter is listed for hearing on 26 April 2022.