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Showing 1 - 10 of 100+ results for "Commonwealth Director of Public Prosecutions"

AMP shakes up advice service model

KARREN VERGARA, JAMIE WILLIAMSON  |  MONDAY, 26 JUL 2021
... Policy and for making misleading statements. In July, the corporate regulator and Commonwealth Director of Public Prosecutions announced that AMP was not involved in any wrongdoing with respect to its fee-for-no-service conduct and its Buyer of Last ...

No charges in AMP BOLR investigation

JAMIE WILLIAMSON  |  FRIDAY, 16 JUL 2021
... related to its Buyer of Last Resort Policy has wrapped up, with the regulator and Commonwealth Director of Public Prosecutions determining no charges should be brought. Under AMP's BOLR policy, when a financial adviser would exit via BOLR, that adviser's ...

Criminal charges filed against ME Bank

JAMIE WILLIAMSON, KANIKA SOOD  |  THURSDAY, 27 MAY 2021
The Commonwealth Director of Public Prosecutions is pursuing criminal charges against ME Bank following an ASIC investigation. The regulator said the charges relate to contraventions of sections 12DB(1)(g) and 12GB(1) of the ASIC Act and sections 64(1) ...

Fund manager hit with serious charges

KARREN VERGARA  |  FRIDAY, 21 MAY 2021
... and custody and administration services between December 2012 and January 2020. The Commonwealth Director of Public Prosecutions, which pursued the matter thanks to a tip off from ASIC, investigated her conduct in November 2019. On 21 January 2020, ASIC ...

Adviser faced with further dishonesty charges

ANNABELLE DICKSON  |  MONDAY, 3 MAY 2021
... some being residents of remote communities. The matter is being prosecuted by the Commonwealth Director of Public Prosecutions has been adjourned to 18 June 2021 for further mention. If convicted, Goel faces a maximum penalty of 10 or 15 years for each ...

ASIC pursues criminal charges in super

JAMIE WILLIAMSON  |  WEDNESDAY, 10 MAR 2021
... confirming it has compiled two briefs of evidence in support of criminal charges with the Commonwealth Director of Public Prosecutions and is undertaking more than 20 enforcement investigations. Addressing the AFR Business Summit, ASIC deputy chair Karen ...

Director charged with dishonest conduct

ANNABELLE DICKSON  |  FRIDAY, 4 DEC 2020
... 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 to the Melbourne Magistrates' ...

ASIC charges BitConnect Australia lead

ELIZA BAVIN  |  WEDNESDAY, 18 NOV 2020
... 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 three months after the ...

Former Financial Circle director charged

ELIZA BAVIN  |  MONDAY, 16 NOV 2020
... 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 of corporations whilst ...

SMSF fraudster charged

ANNABELLE DICKSON  |  THURSDAY, 29 OCT 2020
... 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.
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