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An investment manager sentenced to a six-year prison term for trading on confidential information taken from the computer of Platinum Asset Management's chairman has lodged an appeal.
Ahead of a first case management hearing this month, superannuation fund trustee Equity Trustees has hit back at ASIC’s action over member's investment in the now defunct Shield fund, saying the regulator failed to warn it.
A former director of two marketing companies linked to the failed Shield and First Guardian funds can leave Australia for 12 days, despite ASIC’s concerns he is a flight risk.
Ex-Keystone director Paul Chiodo is fighting a bid to subpoena his personal bank statements, arguing receivers are fishing for potential claims against him as they look to claw back $480 million in investor funds.
In its latest move over the $1 billion collapse of investment funds linked to Keystone and Falcon Capital, the corporate regulator has banned another MWL Financial adviser who touted Keystone's Shield Master Fund.
Fixed income specialist FIIG Securities has been ordered to pay $2.5 million for cybersecurity failures which led to a cyberattack that exposed the data of 18,000 clients, the first penalty of its kind secured by ASIC.
A tribunal has halved an eight-year ban imposed on a former manager of over-the-counter derivatives provider Trade360, accepting that he did not have actual knowledge of the company's contraventions.
The corporate regulator is challenging insurer IAG's claims of legal professional privilege over a technical report in proceedings over allegedly misleading loyalty discounts.
Former Queensland senator Claire Moore has been banned from managing corporations for four years over her role as a director of two gold exploration companies that collapsed after raising $44 million from investors.
Sarah Court has been appointed as the first female chair of the Australian Securities and Investments Commission in the regulator's 35-year history.