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Showing 21 - 30 of 659 results for "Penalty"

Aussie Olympian's brother pleads guilty for role in global scam

ELIZA BAVIN | WEDNESDAY, 28 JAN 2026

... the matter being dealt with for sentence in the local court. For his part in handling the money, Gunn faces a maximum penalty in the Local Court of one year imprisonment, a fine of $12,600, or both. The matter is next listed in the Downing Centre Local ...

Former UGC adviser's appeal against ASIC ban accepted

MATTHEW WAI | TUESDAY, 27 JAN 2026

... misunderstood his role in the business. "The decision deviates from similar cases, imposing an overly harsh and disproportionate penalty. For example, a comparable case involved a two-year ban limited to providing personal advice to retail clients," ...

Rodney Forrest handed prison sentence for $3m insider trading

ELIZA BAVIN | TUESDAY, 27 JAN 2026

... convicted of insider trading following ASIC investigations, including senior executives and company chairs. The maximum penalty for the offence of insider trading is imprisonment for 15 years.

AOFM names lead managers for 2037 Treasury Bond

ELIZA BAVIN | WEDNESDAY, 21 JAN 2026

... around $42 billion. This new bond issuance comes after the ANZ bond scandal, which saw the major bank pay an $80 million penalty for unconscionable conduct relating to services provided to the government during a syndicated bond issuance, and a $50 million ...

ATO to restrict travel over unpaid super obligations

ELIZA BAVIN | WEDNESDAY, 7 JAN 2026

... their obligations and refuse to engage to pay their outstanding amounts. Other examples of firmer actions include director penalty notices, garnishees, referrals to credit reporting bureaus and wind-up applications. DPOs are often applied in conjunction ...

ASIC sues BDO Audit for misleading statements

MATTHEW WAI | MONDAY, 5 JAN 2026

Ahead of Christmas, ASIC commenced civil penalty proceedings against BDO Audit (WA) and its director Dean Just alleging it made misleading statements, while failing to take reasonable steps to ensure reports were factually accurate for an ASX-listed ...

Pump and dump conspirators sentenced

MATTHEW WAI | TUESDAY, 23 DEC 2025

... fine. Yusef was sentenced to 14 months, with 160 hours of community service added. Notably, the court made a pecuniary penalty order under s 116 of the Proceeds of Crimes Act 2002 for Yusef to pay $13,464.89 to the Commonwealth of Australia. All offenders ...

RM Capital, SMSF Club to pay $925k over conflicted remuneration

RIDDHIMA TALWANI | FRIDAY, 19 DEC 2025

The Federal Court has ordered licensee RM Capital to pay a $575,000 penalty and its authorised representative SMSF Club to pay $350,000 over conflicted remuneration breaches. The penalties follow ASIC succeeding in its case against RM Capital in 2024 ...

Macquarie Securities to pay $35m for misleading data reporting

RIDDHIMA TALWANI | FRIDAY, 19 DEC 2025

... addressing misconduct and failures to comply with regulatory obligations by large Australian financial institutions. The penalty and orders against MSAL are subject to approval by the court.

Netwealth to spend $101m compensating First Guardian victims

JAMIE WILLIAMSON | THURSDAY, 18 DEC 2025

... services they provided were done so efficiently, honestly, and fairly. However, ASIC said it will not be seeking a pecuniary penalty to ensure members are remediated quickly, and in recognition of Netwealth's cooperation. "ASIC's investigation ...

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BT appoints new head of strategy

KARREN VERGARA

A former Allianz Retire+ executive has joined BT as the new head of strategy.

ASX sees trade volumes soar in May

MATTHEW WAI

ASX saw a substantial growth in trade volumes last month, despite continued lackluster movement in IPOs.

Otivo launches AI-powered financial advice

MATTHEW WAI

Otivo has launched a mobile app for Australians to access licensed advice powered by AI.

Munro expands access to climate focused fund

VINNY VUCAGO

The Munro Global Growth Climate Leaders PIE Fund has been opened to retail investors in New Zealand.

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