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Showing 1 - 10 of 24 results for "ASX listing rules"

Ord Minnett cops $888k fine over buyback

JAMIE WILLIAMSON  |  WEDNESDAY, 3 MAY 2023
... the course of the buyback Ord Minnett purchased AWN Holdings shares at prices above the allowable limit under ASX Listing Rules, which was also contrary to the clients' instructions. "While the MDP considered that the contravention was a genuine error ...

AMP flags first strike on remuneration

KARREN VERGARA  |  FRIDAY, 31 MAR 2023
... salary of $1.7 million. "This means shareholder approval for the CEO's 2023 LTI award is not required under the ASX Listing Rules. Nevertheless, for good governance, the board has determined that it is appropriate to seek shareholder approval," the resolution ...

Former advisers face huge fines

ELIZABETH MCARTHUR  |  FRIDAY, 6 NOV 2020
... It was alleged that Kawecki was trying to artificially satisfy the minimum spread requirements according to ASX listing rules. The purpose of the minimum spread requirement is to demonstrate that there is sufficient investor interest, from unrelated ...

IOOF settles class action

JAMIE WILLIAMSON  |  MONDAY, 25 MAY 2020
... further alleged IOOF's conduct breached continuous disclosure obligations under the Corporations Act and ASX listing rules. At the time, IOOF said the action was "speculative and without foundation". Now, IOOF has reached agreement with the law firm ...

ASX appoints compliance chief

ALLY SELBY  |  THURSDAY, 7 MAY 2020
... done on the Council, Kevin has strengthened Australia's continuous disclosure regime through a major rewrite of ASX Listing Rules Guidance Note 8; introduced major reforms to the Listing Rules; [and] substantially improved the quantity and quality of ...

Former financial adviser charged

HARRISON WORLEY  |  TUESDAY, 13 AUG 2019
... holder of shares and the applicant's address. Companies are required to meet "minimum spread requirements" under ASX listing rules, which ensure companies have at least 300 "non-affiliated" shareholders with at least $2000 worth of holdings each, before ...

Clime Capital settles class action

KARREN VERGARA  |  MONDAY, 12 AUG 2019
... engaged in misleading and/or deceptive conduct, and breached its obligations of the Corporations Act 2001 and the ASX Listing Rules. Consequently, investors that purchased UGL shares within the claim period have suffered compensable loss, Clime and IMF ...

IOOF responds to class action

ELIZABETH MCARTHUR  |  FRIDAY, 12 APR 2019
... Emanual alleges IOOF's conduct breached continuous disclosure obligations under the Corporations Act 2001 and ASX listing rules. The firm also alleges IOOF engaged in misleading or deceptive conduct, which resulted in shareholders paying an inflated ...

Former Paradice managers launch LIT

KANIKA SOOD  |  MONDAY, 17 DEC 2018
... not on cards, Mitchell said. "We don't have enough investors in that strategy, and it won't meet the ASX listing rules," he said. Andrew Mitchell was profiled in FS Private Wealth previously, here.

WAM pushes for HHY closure

KARREN VERGARA  |  TUESDAY, 9 OCT 2018
... out several issues that include: the loss of asset value, excessive operating expenses, failure to comply with ASX listing rules and questionable conduct. WAM reminded shareholders that when the Aurora Global Income Trust (AIB) attempted to make a takeover ...
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