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Showing 401 - 410 of 1643 results for "Investigation"

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.

APRA 'digging into' super fund contributions to unions

ANDREW MCKEAN  |  WEDNESDAY, 13 APR 2022
After questioning from Senator Andrew Bragg at Senate estimates, prudential regulator APRA shared it has done some preliminary investigations about payments to unions. Bragg has claimed that superannuation which should be for workers has turned into ...

YFYS changed how funds invest: JPMAM

ELIZABETH MCARTHUR  |  WEDNESDAY, 6 APR 2022
... investment officers, which let us shine a light on some of the challenges super funds may face and prompted a better investigation of how funds would actually navigate the changes," Hutchinson said.

Australian Ethical, Christian Super explore merger

JAMIE WILLIAMSON  |  WEDNESDAY, 6 APR 2022
... Super's "persistent underperformance" saw APRA tell the fund it must merge by 31 July 2022. The directive followed an investigation into the fund's investment governance and strategic decision-making, APRA said. At the time, Christian Super chief ...