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Behind Closed Doors: APRA and Enforceable Undertakings

Originally Published: 
Sunday, October 27, 2013
Does APRA’s acceptance of enforceable undertakings in Trio mean that its loss of disqualification power over individuals has driven its processes behind closed doors and made APRA less accountable?

ASIC Charges Former Bell Potter Advisor with Fraudulent Conduct

Mr Glenn Russell Evans, a former Senior Client Advisor with Bell Potter Securities Limited, was charged with 15 counts of fraudulent conduct involving more than $1.06 million following an ASIC investigation into conduct arising from Mr Evan’s role as a director of Kismet Trading Pty Ltd (In Liquidat
Originally Published: 
Tuesday, April 10, 2012

ASIC Accepts Permanent Undertaking from Adelaide Adviser

Financial services representative, Barry David Hassell, of Athelstone in Adelaide, South Australia, has offered an enforceable undertaking to ASIC to permanently refrain from providing financial services.
Originally Published: 
Monday, April 2, 2012

ASIC Accepts Enforceable Undertaking From Leighton Holdings

Leighton Holdings Limited has paid a total of $300,000 after The Australian Securities and Investments Commission (“ASIC”) served three infringement notices alleging the company had not complied with the continuous disclosure provisions of the Corporations Act 2001 and relevant provisions of the Aus
Originally Published: 
Sunday, March 18, 2012

ASIC Accepts Enforceable Undertaking from Commonwealth Bank

ASIC announced it has accepted a court enforceable undertaking (EU) from Commonwealth Bank of Australia (“CBA”) following concerns that a message sent to its internet banking customers was misleading.
Originally Published: 
Tuesday, March 6, 2012

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