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Showing 71 - 80 of 195 results for "Commonwealth Director"

ASIC extends olive branch to inside traders

KANIKA SOOD  |  WEDNESDAY, 24 FEB 2021
... immunity. ASIC says it can offer such individuals immunity from civil proceedings, while working with the Commonwealth Director of Public Prosecution (CDPP) on criminal immunity. This is for some contraventions of the Corporations Act. It has set up ...

Director charged with dishonest conduct

ANNABELLE DICKSON  |  FRIDAY, 4 DEC 2020
... business without holding an Australian financial services licence (AFSL). The matter is being prosecuted by the Commonwealth Director of Public Prosecutions with each offence carrying a maximum penalty of up to 15 years imprisonment. The matter was adjourned ...

ASIC charges BitConnect Australia lead

ELIZA BAVIN  |  WEDNESDAY, 18 NOV 2020
... banned Bigatton from providing financial services for seven years. The matter is being prosecuted by the Commonwealth Director of Public Prosecutions after a referral from ASIC. Bigatton's wife has also made headlines after mysteriously disappearing ...

Former Financial Circle director charged

ELIZA BAVIN  |  MONDAY, 16 NOV 2020
... disqualification, Fuoco continued to manage Financial Circle between 21 August 2017 and 5 September 2018. The Commonwealth Director of Public Prosecutions is prosecuting the matters following a referral from ASIC. The charges of acting in the management ...

SMSF fraudster charged

ANNABELLE DICKSON  |  THURSDAY, 29 OCT 2020
... but Gore was found guilty of six counts involving a total of $345,000. The matter was prosecuted by the Commonwealth Director of Public Prosecutions after an investigation and referral by ASIC.

Alex Wade leaves AMP

JAMIE WILLIAMSON  |  THURSDAY, 6 AUG 2020
... Last Resort (BOLR) agreements. ASIC currently has five investigations into AMP ongoing and has briefed the Commonwealth Director of Public Prosecutions on a number of matters, ASIC deputy chair Daniel Crennan stated yesterday during a House of Representatives ...

Sam Henderson in court over phantom degree

KANIKA SOOD  |  WEDNESDAY, 10 JUN 2020
... Court yesterday. Henderson did not enter a guilty plea and the matter will be next heard on August 4. The Commonwealth Director of Public Prosecutions is prosecuting this matter, following a referral of a brief of evidence from ASIC. Each s952D(2)(a)(ii) ...

Adviser guilty of misuse of client money

ELIZA BAVIN  |  THURSDAY, 14 MAY 2020
... had shown cooperation with its investigation and early guilty plea. The matter is being prosecuted by the Commonwealth Director of Public Prosecutions. The news comes days after the regulator banned three other financial advisers from Adelaide, Melbourne ...

ASIC turns up the heat on enforcement

HARRISON WORLEY  |  THURSDAY, 27 FEB 2020
... in avoiding an income protection claim in 2014. One case, ASIC said, is currently being considered by the Commonwealth Director of Public Prosecutions for potential criminal action, following ASIC's investigation. Seven of the cases referred to the corporate ...

CommInsure enters guilty plea

ELIZA BAVIN  |  TUESDAY, 19 NOV 2019
... importance of using information in the PDS when making a decision. The case has been handed over to the Commonwealth director of public prosecutions from ASIC with details of the investigation and a prosecution brief. CommInsure was charged by the regulator ...