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Showing 61 - 70 of 203 results for "Sarah Court"

Brite Advisors auditor admits failures, surrenders registration

ANDREW MCKEAN  |  FRIDAY, 27 JUN 2025
... the audits over this period adequately and in accordance with the Australian Auditing Standards. ASIC deputy chair Sarah Court commented that confidence and trust underpin the role of company auditors and the independent assurance they provide. "This ...

Equity Trustees rapped over the knuckles by ASIC

JAMIE WILLIAMSON  |  THURSDAY, 19 JUN 2025
... entity must have measures in place for ensuring it complies with its obligations as an AFS licensee," ASIC deputy chair Sarah Court said. "These include having adequate governance controls and procedures to ensure that disclosures made in relation to ...

ASIC sues Australian Unity for TMD failure

KARREN VERGARA  |  WEDNESDAY, 11 JUN 2025
... investors access to varied investment opportunities, while meeting related regulatory obligations." ASIC deputy chair Sarah Court said the Design and Distribution Obligations (DDO) are there to help make sure consumers get appropriate financial products ...

ASIC alleges Choosi flogged Hannover life insurance products

KARREN VERGARA  |  TUESDAY, 3 JUN 2025
... "free comparison service lets you compare the benefits and prices of a range of popular insurer." ASIC deputy chair Sarah Court said the regulator is acting to stop companies taking advantage of consumers trying to shop around for the best deals. "We ...

ART pinged by ASIC over misleading returns data

JAMIE WILLIAMSON  |  MONDAY, 2 JUN 2025
... consumers to believe that the Lifecycle Investment Strategy's performance was better than it truly was," ASIC deputy chair Sarah Court said. "Superannuation is the largest asset of many Australians outside their family home. This notice is a reminder ...

ASIC accuses Kalkine of providing unlicensed advice

ELIZA BAVIN  |  FRIDAY, 23 MAY 2025
... its representatives were complying with the law when interacting with consumers were inadequate. ASIC deputy chair Sarah Court said AFS licensees are responsible for the conduct of their representatives and must have adequate supervision arrangements ...

Former director sentenced over 'test' trading accounts

MATTHEW WAI  |  THURSDAY, 22 MAY 2025
... Crimes Act 1900 (NSW), with a further four offences taken into account for sentencing. Commenting, ASIC deputy chair Sarah Court said the sentence demonstrates the seriousness of the misconduct and will deter others from committing in similar conduct. ...

ASIC sues home loan manager over 'unlawful' hardship application handling

MATTHEW WAI  |  WEDNESDAY, 21 MAY 2025
... contravened the obligation of a credit licensee to act "efficiently, honestly and fairly", ASIC said. ASIC deputy chair Sarah Court said the approach is "particularly unfair for customers", especially for those experiencing domestic violence, bereavement ...

Former Sydney adviser sentenced to three years

MATTHEW WAI  |  MONDAY, 19 MAY 2025
... assistance". Valvo's guilty plea was taken into account by the Judge when handing down sentence. ASIC deputy chair Sarah Court said Valvo betrayed his clients' trust. "Instead of showing the honesty and integrity required of someone who works in the ...

HCF Life fined $750k for misleading contract term

KARREN VERGARA  |  FRIDAY, 9 MAY 2025
... it used unfair and misleading terms that can deter customers from making a claim. In a win for ASIC, deputy chair Sarah Court said: "ASIC brought this case to ensure consumers were not misled about their rights and the extent of their cover by HCF Life's ...