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Showing 1 - 3 of 3 results for "Justice McEvoy"

'Licensee for hire' fined $1.25m by court

JAMIE WILLIAMSON  |  THURSDAY, 11 APR 2024
... management processes or the like in place, using a paper filing system until September 2020. Issuing the penalty, Justice McEvoy said the contraventions were serious and systemic, saying Lanterne's conduct fell well short of the reasonable standard expected ...

Mercer fined $12m over advice failures

JAMIE WILLIAMSON  |  THURSDAY, 23 NOV 2023
... of inadequate systems and processes in place to ensure disclosure documents were compliant. The presiding judge, Justice McEvoy, said the "contraventions in the present case were extremely serious. They were large in number, many clients were affected ...

Dixon Advisory pays $7m for poor advice

JAMIE WILLIAMSON  |  TUESDAY, 20 SEP 2022
... resulted in the clients' SMSFs being insufficiently diversified and exposed to risk of capital loss, ASIC said. Justice McEvoy said there is no evidence that reasonable investigations into the products or alternatives were conducted, nor that the personal ...
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