Search Results | Showing 31 - 40 of 1674 results for "Breach" |
| | | Sydney-based stockbroking firm Petra Capital has been fined $205,350 by the Markets Disciplinary Panel (MDP) for misreporting information on 3632 orders. The MDP found that Petra had breached the market integrity rules by failing to provide accurate ... |
| | | | Interprac Financial Planning will need to pay approximately $120,000 in compensation to a complainant over inappropriate advice provided in relation to the Shield Master Fund, the Australian Financial Complaints Authority (AFCA) lead decision reveals. ... |
| | | | Australian Unity Funds Management (AUFM) admitted it breached design and distribution obligations (DDO) regarding its Select Income Fund and has been slapped with a $7.125 million fine by the Federal Court. Hundreds of retail investors were led to believe ... |
| | | | ASIC penalised 28 self-managed superannuation fund (SMSF) auditors in the first half of FY26, including the cancellation of 22 registrations. ASIC said its action relates to breaches of obligations and standards, including failures to comply with auditing ... |
| | | | ... sentence. "Mr Forrest... made a conscious choice to do something he knew was wrong, dishonest and illegal. It was a profound breach of trust to obtain that information, and an even more profound breach of trust to use it for the purpose of illegal share ... |
| | | | ... managing companies for five years. When handing down the sentence, Judge John Prior noted Torre's actions as a "gross breach of trust" of vulnerable victims who relied on him as a professional financial adviser. "The victims entrusted you with some ... |
| | | | ... Hostplus continued to splurge on sponsorship deals. Cybercriminals attack major super funds Cybercriminals attempted to breach the systems of several superannuation funds in April, although most attacks were repelled, thousands were affected. Later that ... |
| | | | 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 ... |
| | | | There was no shortage of news impacting the financial advice community this year, with advisers bearing the brunt of negative sentiment in the wake of First Guardian and Shield collapses. But there were some bright spots throughout the year, including ... |
| | | | After holding a roundtable discussion yesterday, Minister for Financial Services Daniel Mulino says all consumer-facing sub-sectors within the financial services sector, and all 23 retail-facing sub-sectors will foot the $47.3 million CSLR special levy. ... |
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