Search Results | Showing 1 - 10 of 205 results for sanction |
| | The Financial Conduct Authority's (FCA) investigation into the Woodford Equity Income Fund (WEIF) finds that the failures of Link Fund Solutions (LFS) and "star stock picker" Neil Woodford ultimately led to the fund's demise, leading to the ... |
| | | Following a brief reprieve, the number of class actions targeting the financial services sector escalated significantly in 2023. According to a report from Allens, the banking and financial services sector was the second biggest target for class actions ... |
| | | Former financial adviser Shivdeep Jaidka is under ASIC scrutiny; the corporate regulator has accepted a court-enforceable undertaking from him. After reviewing the financial services provided by Jaidka, ASIC found he failed to adhere to s961B and s961G ... |
| | | ... defunct Woodford Equity Income Fund, was approved by the UK courts. Provided that no appeals are brought against the sanction of the scheme, it is expected to become fully effective by March 2. |
| | | The Future Fund holds stakes in over 50 Chinese companies with links to human rights abuses and national security threats, associated with the People's Liberation Army, involved in the oppression of Uyghurs in Xinjiang, and invested in sanctioned ... |
| | | The highly anticipated legislation that recognises veteran financial advisers as professionals and exempts them from undertaking further qualifications has passed both houses of parliament. The Labor government passed Treasury Laws Amendment (2023 Measures ... |
| | | Openmarkets Australia has paid a $4.5 million penalty, the largest sanction ever imposed by an ASIC Market Disciplinary Panel, after contravening market integrity rules. An ASIC investigation was triggered by a series of transgressions, most notably ... |
| | | ... on detail, given the nature of the conduct, the second decision is more interesting when looking at the impact of the sanction applied. Mr. M's conduct in question, unfortunately, looks to be more common, he pointed out. Cold calling typically employs ... |
| | | ... information." "When we completed our investigation, we went through the process of considering the relevant things to impose a sanction. We imposed the sanctions on PwC that were about making sure these problems did not occur again in the future and ... |
| | | ... members were poor or 'significantly' poor performing products, leading ISA to say the Your Future, Your Super (YSYF) sanction of closing funds to new members will have no impact on these funds, and not stop their existing members from being fleeced. ... |
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