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Showing 31 - 40 of 90 results for "ASX listing"

IOOF settles class action

JAMIE WILLIAMSON  |  MONDAY, 25 MAY 2020
... firm further alleged IOOF's conduct breached continuous disclosure obligations under the Corporations Act and ASX listing rules. At the time, IOOF said the action was "speculative and without foundation". Now, IOOF has reached agreement with the ...

ASX appoints compliance chief

ALLY SELBY  |  THURSDAY, 7 MAY 2020
... has done on the Council, Kevin has strengthened Australia's continuous disclosure regime through a major rewrite of ASX Listing Rules Guidance Note 8; introduced major reforms to the Listing Rules; [and] substantially improved the quantity and quality ...

Former financial adviser charged

HARRISON WORLEY  |  TUESDAY, 13 AUG 2019
... beneficial holder of shares and the applicant's address. Companies are required to meet "minimum spread requirements" under ASX listing rules, which ensure companies have at least 300 "non-affiliated" shareholders with at least $2000 worth of holdings ...

Clime Capital settles class action

KARREN VERGARA  |  MONDAY, 12 AUG 2019
... engaged in misleading and/or deceptive conduct, and breached its obligations of the Corporations Act 2001 and the ASX Listing Rules. Consequently, investors that purchased UGL shares within the claim period have suffered compensable loss, Clime and IMF ...

IOOF responds to class action

ELIZABETH MCARTHUR  |  FRIDAY, 12 APR 2019
... Quinn Emanual alleges IOOF's conduct breached continuous disclosure obligations under the Corporations Act 2001 and ASX listing rules. The firm also alleges IOOF engaged in misleading or deceptive conduct, which resulted in shareholders paying an inflated ...

Advice dealer group seeks ASX listing

JAMIE WILLIAMSON  |  THURSDAY, 24 JAN 2019
A financial advice dealer group is looking to list on the ASX this year, kicking off a $10 million IPO to make it happen. AD Capital Group has set its sights on listing later this year as part of an ongoing strategy to become one of Australia's ...

Former Paradice managers launch LIT

KANIKA SOOD  |  MONDAY, 17 DEC 2018
... LIT is not on cards, Mitchell said. "We don't have enough investors in that strategy, and it won't meet the ASX listing rules," he said. Andrew Mitchell was profiled in FS Private Wealth previously, here.

WAM pushes for HHY closure

KARREN VERGARA  |  TUESDAY, 9 OCT 2018
... listed out several issues that include: the loss of asset value, excessive operating expenses, failure to comply with ASX listing rules and questionable conduct. WAM reminded shareholders that when the Aurora Global Income Trust (AIB) attempted to make ...

ASIC bans former adviser on IPO conduct

KANIKA SOOD  |  WEDNESDAY, 27 JUN 2018
... between 2015 and 2017. Mark Damion Kawecki has been banned from providing financial services for seven years. Under the ASX Listing rules, a company must meet the 'minimum spread requirements' - meaning it must have the minimum number of unrelated shareholders ...

AMP hit with another proposed class action

JAMIE WILLIAMSON  |  TUESDAY, 15 MAY 2018
... deceptive conduct and a breach of its continuous disclosure obligations under the Corporations Act 2001 (Cth) and the ASX Listing Rules." Two shareholder class actions have already been established in the courts, by Phi Finney McDonald and Quinn Emanuel ...