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Are indexes the next target for greenwashing investigations?

RACHEL ALEMBAKIS | TUESDAY, 8 AUG 2023

ASIC's latest action against Vanguard for allegations of greenwashing in a bond fund raises the question of whether the market regulator will crack down on index providers and other third-party service providers for greenwashing as well. Last month ...

ASIC takes Dixon Advisory director to court

KARREN VERGARA | FRIDAY, 4 AUG 2023

... a deed of company arrangement, which among other things, required E&P Operations to pay $17,662,489 to Dixon Advisory. Action taken by ASIC in that same year led to Dixon Advisory forcibly paying $7.2 million in penalties after the Federal Court found ...

Former director pleads guilty to super misuse

CASSANDRA BALDINI | FRIDAY, 4 AUG 2023

... 2020 and charged with dishonest conduct and misuse of his position as a director. The arrest came after ASIC took civil action to obtain interim orders to preserve the assets of Naseeruddin's companies. In October 2020, ASIC obtained orders to wind up ...

eToro sued by ASIC

ANDREW MCKEAN | THURSDAY, 3 AUG 2023

... data for the first case management hearing is yet to be scheduled by the court. ASIC has previously taken administrative action to protect consumers from high-risk CFD trading, not suited to their financial circumstances, including stop orders against ...

Mayfair 101 calls for senate inquiry into ASIC

JAMIE WILLIAMSON | WEDNESDAY, 2 AUG 2023

... and is therefore conflicted," he said. He added that Mayfair 101 was never afforded the opportunity to take corrective action in relation to its advertisements, as is typically the case with ASIC investigations. The case against Mawhinney and Mayfair ...

Advisers lacking PII sidestep AFCA rulings

KARREN VERGARA | FRIDAY, 28 JUL 2023

... Sometimes the advice firm will end up in liquidation and then "phoenix into something else". It is then reliant on ASIC to take action by way of withdrawing licences. "But even then, [advisers] can turn up elsewhere who have engaged in this sort of conduct. ...

Industry grapples with looming cyber threats

CHLOE WALKER | THURSDAY, 27 JUL 2023

... are ramping up. "The proceedings against RI Advice are of interest because they show ASIC's appetite to take enforcement action against companies that fail to meet reasonable standards in managing cyber risks," he notes. And APRA regulations are now ...

ASIC acts against illegal investment scheme operator

JAMIE WILLIAMSON | WEDNESDAY, 26 JUL 2023

... that, among other investors, targeted SMSF members. Sasha Hopkins, director of The A Team Property Group, is facing civil action for alleged unlicensed conduct and running several unregistered schemes. ASIC is alleging that Hopkins offered clients property ...

Credit Suisse fined $575m by regulators

CASSANDRA BALDINI | TUESDAY, 25 JUL 2023

... announcement, the PRA stated that the fine imposed on the bank was its highest ever. Additionally, it was noted that this action also represented the first occurrence of an enforcement investigation exposing violations of four PRA Fundamental Rules. ...

ASIC continues to reprimand SMSF auditors

CHLOE WALKER | MONDAY, 24 JUL 2023

... and it is crucial that SMSF auditors comply with their regulatory obligations," Press said. "ASIC will continue to take action where the conduct of SMSF auditors is inadequate." In November last year, ASIC commissioner Sean Hughes said the regulator ...

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Federal Court calls out ASIC for re-running case on appeal

RIDDHIMA TALWANI

The Full Federal Court of Australia has criticised regulators for falling back on appeals to re-litigate cases on a different legal basis than the one run at trial.

Evergreen founder exits Ascalon Capital

KARREN VERGARA

Ascalon Capital has bid farewell to Evergreen Consultants' founder Angela Ashton, shortly after acquiring the consulting firm last year.

Powerhouse Ventures partners with European fund manager

KARREN VERGARA

ASX-listed Powerhouse Ventures has partnered with an unnamed European fund manager that will commit US$50 million to its fledgling Critical Infrastructure Opportunities (CIO) Fund.

KeyInvest unveils new investment platform, awards mandate

MATTHEW WAI

KeyInvest has launched a new investment platform to include a plethora of investment strategies ranging from private credit to global equities.

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Christian Mueller-Glissmann

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When geopolitics becomes a portfolio risk

Geopolitics is back - again - and Australian investors can no longer treat it as distant background noise.

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Tania Milnes

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Does association membership still matter?

With all the changes the advice sector has experienced in recent years, such as regulatory reform and increased education and professional standards ...

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Digital assets and where they stand in 2026

So far in 2026 digital assets have captured the headlines largely for the wrong reasons, but that doesn't tell the full story.

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Rethinking default design in a changing market environment

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Brian Redican

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What makes an economist an economist? TCorp chief economist Brian Redican reflects on over three decades of navigating Australia's economic cycles. Riddhima Talwani writes.

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