Search Results | Showing 71 - 80 of 112 results for %22Sarah Court%22 |
| | | ... Dixon Advisory was given a 30% discount for its cooperation and will instead pay $7.26 million. ASIC deputy chair Sarah Court said: "Licensees need to ensure their representatives are taking into account their clients' specific needs and circumstances." ... |
| | | | ... trial, ASIC was operating under what it now accepts to be a mistaken view of the law. Commenting, ASIC deputy chair Sarah Court said the regulator will consider the judgment very carefully and evaluate its next steps. "ASIC took this case to protect ... |
| | | | ... ZIB's conduct constituted "a serious departure from reasonable standards of performance of advice." ASIC deputy chair Sarah Court said ASIC took on this case because of concerns that personal advice was being provided without the relevant legal protections ... |
| | | | ... three-year intensive correction order, including a 12-month home detention order. During the hearing, ASIC deputy chair Sarah Court said that instead of showing the honesty and integrity required of someone who works in the financial services sector ... |
| | | | ... obligations as an AFSL holder, including a failure to meet organisational competence requirements. ASIC deputy chair Sarah Court said: "ASIC is concerned that for an extended period there was a real risk of investor harm due to shortcomings in Lanterne's ... |
| | | | ... 2100 customers. Customers impacted included members of GESB and Alcoa of Australia Retirement Plan. ASIC deputy chair Sarah Court said: "These proceedings are another example of a large financial institution charging fees to customers that we allege ... |
| | | | ... nobody has reported a financial loss or damage as a result of the misleading representations, however ASIC deputy chair Sarah Court said: "The SMSF sector holds an estimated total value of assets of just over $876 billion. Misleading information about ... |
| | | | ... to the industry to act on advice and rectify problems quickly, or face possible criminal action," ASIC deputy chair Sarah Court said. She added that this case was particularly serious because senior managers within Avanteos were aware of what was happening ... |
| | | | ... orders from the court that customers who have been wrongly charged since 2018 also be remediated. ASIC deputy chair Sarah Court said: "We are concerned that, over a long period of time, ANZ overstated the available funds and balances on credit card accounts ... |
| | | | ... hearings, strike-off and criminal prosecution for serious offences," the judge said. Also commenting, ASIC deputy chair Sarah Court said: "Instead of showing the honesty and integrity required of someone who works in the financial services sector, Mr ... |
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