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ASIC sues financial advisor over $1.4M loan scam
Financial Services 2018-07-03 9:55 pm By Miklos Bolza

The Australian Securities and Investments Commission has taken Queensland firm Refocus Financial Group to court for allegedly co-opting over $1.4 million in client loans for […]

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Goldman Sachs deal with ASIC to keep lawyers busy
Financial Services 2018-07-02 11:58 pm By Cat Fredenburgh

Goldman Sachs has agreed to involve more lawyers in its capital markets transactions communications, after the Australian Securities and Investments Commission raised concerns about representations […]

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ASIC opens Whitebox trial, keeps judge on toes
Securities 2018-07-02 11:06 pm By Miklos Bolza

The trial in ASIC’s complex share market manipulation action against Whitebox Trading began Monday, with an opening submission by the corporate regulator that at times […]

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Cash Converters must answer questions on tax treatment of brokerage fees
Class Actions 2018-07-02 10:30 pm By Cat Fredenburgh

A Federal Court judge has ordered Cash Converters to provide answers to how it treated its brokerage fees for tax purposes, as it faces new […]

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Commonwealth Bank hit with new class action over money-laundering breaches
Class Actions 2018-07-02 4:00 pm By Cat Fredenburgh

The Commonwealth Bank of Australia is facing a second shareholder class action after agreeing to fork over $700 million to settle anti-money laundering claims by […]

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Business as usual as Clayton Utz reps AMP in ASIC case
Financial Services 2018-07-02 1:11 pm By Christine Caulfield

Clayton Utz, the law firm that faced scrutiny over the independence of a report it authored for AMP, is representing the wealth manager in ASIC’s […]

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Dover founder leaves financial services industry for good
Financial Services 2018-06-29 11:01 pm By Christine Caulfield

The founder of Dover Financial Advisers will never work in the industry again, he has told the Australian Securities and Investments Commission as part of […]

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ASIC bans former NAB advisor for incompetence
Financial Services 2018-06-28 11:40 pm By Christine Caulfield

The Australian Securities and Investments Commission has banned former NAB advisor Graeme Cowper from offering financial services for four years, after an investigation found he […]

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Judge fears tying Federal Court’s hands in AMP class action battle
Class Actions 2018-06-28 8:57 pm By Miklos Bolza

A NSW Supreme Court judge has voiced concerns in an unprecedented jurisdictional battle that a decision that leaves competing class actions against AMP still raging […]

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Funder attacks Westpac’s ‘dangerous’ intentions in class action
Class Actions 2018-06-27 11:10 pm By Miklos Bolza

Litigation funder JustKapital went on the attack in court on Wednesday, saying Westpac’s objections to the terms of a proposed funding order in a class […]

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