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Showing 591 - 600 of 2456 results for "Court"

Link acquisition deal terminated

ANDREW MCKEAN  |  MONDAY, 26 SEP 2022
... conditions not being satisfied, including the Woodford Matters condition and the UK Financial Conduct Authority condition, the Court declined to make orders approving the deal and dismissed proceedings. As a result, the proposed acquisition which Link ...

AMP cops $14.5m penalty over fees for no service

JAMIE WILLIAMSON  |  TUESDAY, 20 SEP 2022
... for charging close to 1500 superannuation members fees for no service over the course of about three years. The Federal Court handed the fine to AMP Superannuation, AMP Financial Planning, Charter Financial Planning, Hillross Financial Services and AMP ...

Former financial adviser pleads guilty

CASSANDRA BALDINI  |  TUESDAY, 20 SEP 2022
... financial adviser John Wertheimer pleaded guilty to charges surrounding unauthorised client transactions in Perth Magistrates Court. Wertheimer pleaded guilty to one charge of providing a financial service on behalf of a person who carries on a financial ...

Dixon Advisory pays $7m for poor advice

JAMIE WILLIAMSON  |  TUESDAY, 20 SEP 2022
... will pay $7.2 million for providing inappropriate advice and not meeting client best interests obligations. The Federal Court found that six Dixon Advisory representatives did not act in the best interests of eight clients on 53 occasions. Each instance ...

Mawhinney ban overturned, to face retrial

JAMIE WILLIAMSON  |  THURSDAY, 15 SEP 2022
Mayfair 101 managing director James Mawhinney has had his 20-year ban overturned and will return to the Federal Court to have his case reheard. The Full Bench of the Federal Court said ASIC's case against Mawhinney lacked procedural fairness as ...

Charges laid against former BBY head of operations

CASSANDRA BALDINI  |  TUESDAY, 13 SEP 2022
... (Vic). Each offence carries a maximum penalty of 10 years imprisonment. Bilton appeared in the Melbourne Magistrate's Court yesterday, the matter was adjourned for further mention on October 25. The matter is being prosecuted by the Commonwealth ...

ASIC concerns see 18 funds update advertising materials

JAMIE WILLIAMSON  |  THURSDAY, 8 SEP 2022
... Wentworth Williamson Management and the Wentworth Williamson Stable Income Fund. ASIC was clear that neither it nor the court has found that any of the 13 REs or trustees have breached any laws. They also haven't made any admissions of guilt or liability ...

Insurers are 'fishing' for non-disclosures: ASIC

ANDREW MCKEAN  |  FRIDAY, 2 SEP 2022
... investigations were improperly used. In response to one of the case studies, ASIC acted against TAL. In March 2021, the Federal Court found that TAL breached its duty of utmost good faith in handling a claim. ASIC deputy chair Karen Chester said: "Our ...

Link Group acquires HS Pensions

ANDREW MCKEAN  |  TUESDAY, 30 AUG 2022
... certain conditions precedent, including the receipt of outstanding regulatory approvals and the approval of the Supreme Court of New South Wales. The scheme implementation Court date is scheduled for September 27.

MobiSuper, licensee to pay $250k penalty

JAMIE WILLIAMSON  |  MONDAY, 29 AUG 2022
... advice laws while promoting the MobiSuper fund. MobiSuper and ZIB Financial will pay the combined penalty after the Federal Court found MobiSuper representatives had phoned customers and provided personal advice without acting in the customers' best ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN  |   12:33PM
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA  |   11:56AM
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI  |   11:09AM
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA  |   12:20PM
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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