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Showing 71 - 80 of 349 results for "Investigations"

ASIC consults on misconduct reporting rules

ANDREW MCKEAN  |  FRIDAY, 12 APR 2024
... regulatory experience, we have observed that some external administrators and controllers are undertaking extensive investigations and incurring significant costs in completing the initial statutory report. We consider this to generally be unnecessary ...

Court rejects Provide Capital's 'illogical' application

KARREN VERGARA  |  WEDNESDAY, 3 APR 2024
... documents as part of its investigation. On 13 December 2023, Provide Capital made an application to prevent further investigations alleging ASIC did not have reasonable grounds to suspect the contraventions under investigation because it had not prepared ...

QMV Legal folds, managing partner to launch new firm

KARREN VERGARA  |  WEDNESDAY, 27 MAR 2024
... to have advised clients on a broad range of matters, including successor fund transfers, regulatory change and investigations, and material service provider contracts." Melbourne-based QMV Legal also comprises senior regulatory consultant Jessica Pomeroy. ...

ASIC cracks down on scammers

CHLOE WALKER  |  MONDAY, 4 MAR 2024
... and nine criminal convictions relating to scamming in the half year to 31 December 2023. It also launched 83 new investigations, commenced 19 new civil proceedings, criminally charged 19 individuals, and completed nearly 350 surveillances. "Cost of living ...

ASIC to tighten grip on super fund misdemeanours

ANDREW MCKEAN  |  FRIDAY, 2 FEB 2024
... other issues, leading to additional distress for members' families," she said. While not commenting specifically on investigations underway, Court flagged that ASIC is undertaking an industry review focused on improving the delivery of superannuation ...

Federal Court appoints receivers to investigate Brite Advisors

ANDREW MCKEAN  |  MONDAY, 18 DEC 2023
... it took these steps to protect client assets, and the management of those assets, on an ongoing basis, while the investigations continue.

Boards unprepared for new workplace laws: Research

ROSE MARY PETRASS  |  THURSDAY, 14 DEC 2023
... workplace. Under the new laws, workplaces can be held liable for sexual harassment and gender-based discrimination, and investigations can be made regardless of whether a complaint has been filed. Research from the Australian Institute of Company Directors ...

Nominations open in FS Sustainability Power50

RACHEL ALEMBAKIS  |  TUESDAY, 14 NOV 2023
... long-anticipated sustainable finance strategy. This year has also brought challenges in the form of greenwashing investigations, causing companies to rethink they ways in which they implement their ESG targets and objectives. The people who appear on ...

AAT overturns ASIC ban on investment guru

CASSANDRA BALDINI  |  FRIDAY, 20 OCT 2023
... conclusion, McCabe clarified that he is not excusing the problematic behaviour uncovered through ASIC's thorough investigations. "... but the issues she presents are issues for a different decision-maker," he said.

US regulator fines DWS US$25m for greenwashing, AML offences

RACHEL ALEMBAKIS  |  TUESDAY, 26 SEP 2023
... action; and to a cease-and-desist order, censure, and a US$19 million penalty in the ESG misstatements action. Both investigations were led by the Enforcement Division's Asset Management Unit (AMU).