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FEDERAL COURT
Funds management
The corporate regulator has alleged PE Capital Funds Management had operated a number of unregistered managed investment schemes without an Australian financial services ...
Life/Risk
TAL is acknowledging the Australian Securities and Investments Commission’s pursuit of charges against in the Federal Court but pointing out that the regulator did not wi...
Funds management
The Australian Securities and Investments Commission has announced that the Federal Court has ordered the winding up of un unregistered managed investment scheme operated...
Superannuation
In an unusual move, the Australian Securities and Investments Commission is taking civil action in the Federal Court to force a Gold Coast accountant to abide by an enfor...
Financial planning
The liquidated firm’s managing director, Robert Marie, has been ordered by the Federal Court to pay $100,000 after he and the firm were found to have issued five defectiv...
Financial planning
Arlene Caolboy has been fined $40,000 for claiming she was a registered tax agent and unlawfully providing tax agent services....
SMSF
The Federal Court has ordered Secure Investments and Aqulia Group to wind up after it found Secure Investments and its director Mudasir Naseeruddin had breached the Corpo...
Financial planning
A month after being subject to Federal Court proceedings launched by the corporate regulator, the financial services group has announced it would re-brand to E&P Financia...
Superannuation
The Australian Securities and Investments Commission is backing the Federal Court’s precedent in the IOOF case on how and when superannuation funds can use member reserve...
Funds management
It is alleged the sponsored link advertisements promoting Mayfair debenture products were misleading or deceptive....
Superannuation
A leading plaintiff law firm has called for employers to be placed under a legal obligation to select the right default superannuation fund for their employees at the sam...
Funds management
Union Standard International Group may proceed against the corporate watchdog for damages arising from inaccurate statements and a failure to mention key matters regardin...
Financial planning
The Federal Court has imposed penalties amounting to $9.15 million on Westpac because of its failure as a licensee with respect to poor financial advice provided by a for...
Life/Risk
The Australian Securities and Investments Commission’s Federal Court case against major insurer, TAL, will test the circumstances and extent to which life insurers can ga...
Funds management
The Australian Securities and Investments Commission has taken further steps to wind up Chris Marco’s alleged unregistered managed investment scheme....
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Podcast
Dear CEO and board, It's time to start some VERY HEAVY LOBBYING on behalf of advisers which could save your platform re...
He is every thing ASIC said he was BUT How on earth did he expect to get away with it????? . these guy's who dip in...
A tad optimistic from Morningstar. Adviser numbers are somewhat irrelevant; it all comes down to the platform and whethe...