Search Results | Showing 41 - 50 of 79 results for %22Court Enforceable Undertaking%22 |
| | | ASIC is taking a Queensland-based financial planner to the Supreme Court, after his licensee reported him to the corporate regulator. Brett Andrew Gordon operated a financial planning business, Refocus Financial Group on the Sunshine Coast. He held ... |
| | | | ASIC has accepted a Court Enforceable Undertaking from Dover Financial Advisers and Terry McMaster will leave the financial services industry. ASIC confirmed the action resulted from an ASIC investigation which commenced in 2017, with a particular focus ... |
| | | | A former financial adviser permanently banned by ASIC in 2016 has appeared in court, charged with $5.9 million of fraud. Ben Jayaweera has been charged with six counts of fraud for allegedly causing detriment to clients whilst an authorised representative ... |
| | | | The Federal Court ruled Westpac's conduct in handling bank bill swap rates was "unconscionable" on four of the 16 occasions that ASIC alleged the bank manipulated the BBSW. While ASIC failed to prove Westpac traders had manipulated the BBSW, the bank ... |
| | | | ... independent expert will review policies, training and monitoring for its BBSW business. CBA and ASIC will apply to the Federal Court, seeking approval of the settlement. This adds to the $118.5 million in refunds, including interest, that the bank admitted ... |
| | | | ... home loans and margin loans to purchase units in said funds; these investments were used to pay Storm's fees. The Federal Court made its original judgement on the Cassimatises' system in 2016. It found that the advice given to a sample of clients - all ... |
| | | | ... instruments used by banks to borrow or lend, which help determine the key reference rate in Australia's financial markets. Court filings show CBA, from time to time, traded in the bank bill market with the purpose of affecting the yield and the BBSW ... |
| | | | ... is suspended, to achieving a protective outcome - resulting in lengthy hearings and surveillance periods. Applying to a court for an injunction also involves significant time, resources and costs in investigating and preparing a case, together with enforceable ... |
| | | | A former New South Wales financial adviser has appeared in court over 19 fraud-related charges brought by ASIC. Following an investigation by the regulator, Gabriel Nakhl faced the Local Court of New South Wales yesterday, accused of engaging in dishonest ... |
| | | | ... Management (MFSIM), now known as ACN, have been found liable for breaching their directors' and officers' duties by the Supreme Court of Queensland. The MFS Group, subsequantly known as Octaviar, collapsed in 2008 owing $2.5 billion. ASIC launched civil ... |
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