Search Results | Showing 41 - 50 of 203 results for "Sarah Court" |
| | | ... compliance failures exposed thousands of Australians to poor advice and significant financial risk," ASIC deputy chair Sarah Court said. "We allege Interprac failed to ensure certain authorised representatives acted in their clients' best interests ... |
| | | | ... the representations, HESTA overstated its commitment to reducing investment in carbon emissions," ASIC deputy chair Sarah Court said. "Consumers relying on HESTA's representation may have been denied the opportunity to make informed decisions about ... |
| | | | ... on enforcing well-established legal obligations that prohibit misleading and deceptive conduct," ASIC deputy chair Sarah Court said. "Fund managers need to make sure that they accurately represent the nature of both their direct and indirect investments ... |
| | | | ... aiding fraud in 2023 for her involvement, but was acquitted of all charges last month. Commenting, ASIC deputy chair Sarah Court said the sentence puts an end to "one of the most serious" frauds ASIC has ever investigated. "The sentence handed down by ... |
| | | | ... gatekeepers, and when they fail in their duties, the consequences for investors can be severe," ASIC deputy chair Sarah Court said. The AFCA membership of UGC has been temporarily reinstated so that impacted investors can make complaints through until ... |
| | | | ... services law," ASIC said. The banning order took effect from 25 August 2025. Last month, ASIC deputy commissioner Sarah Court told a parliamentary committee that the regulator has identified around 140 financial advisers who were involved in super switching ... |
| | | | ... demonise all financial advisers. There's a lot of blame to go around here," Longo says. However, deputy commissioner Sarah Court did note that around 140 advisers are on an internal list at ASIC that have either had action brought against them, are ... |
| | | | ... and procedures that applied to logging, investigating, managing and responding to those concerns. ASIC deputy chair Sarah Court said responsible entities are responsible for the governance of investor funds and, as such, must have proper processes, procedures ... |
| | | | ... members' retirement savings after they used Macquarie's platform to invest their super in Shield," ASIC deputy chair Sarah Court said. "Many members thought their funds were safe when they used Macquarie's super platform to invest in Shield ... |
| | | | ... court to have been operating unlawfully in Australia while unregistered for more than six years. ASIC deputy chair Sarah Court said: "This type of misconduct undermines trust and confidence in Australia's financial services." "Firms dealing in financial ... |
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