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FEDERAL COURT
Financial planning
The corporate regulator has filed a contempt application in Federal Court against James Mawhinney, the director of companies in the Mayfair 101 group....
Financial planning
Former director of Global Merces Funds Management, Holly Grofski, has been charged with three counts of dishonest conduct, one count of providing false information and on...
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...
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Podcast
This verdict highlights something deeply wrong and rotten at the heart of the FSCP. We are witnessing a heavy-handed, op...
Interesting. Would be good to know the details of the StrategyOne deal....
It’s astonishing to see the FAAA now pushing for more advisers by courting "career changers" and international recruits,...