Search Results | Showing 1 - 10 of 19 results for "Sarah Court" |
| | | ... behaviour. "The figures point to an increase in concerns being raised about corporate governance issues," ASIC deputy chair Sarah Court said. "They underscore ASIC's enforcement priorities, which include tackling governance and directors' duties failures ... |
| | | | ... the government for nearly two years by overstating bond trading volumes by billions of dollars." ASIC deputy chair Sarah Court added: "ANZ will also pay for misconduct that made an already difficult time far harder for hundreds of its customers who were ... |
| | | | ... on enforcing well-established legal obligations that prohibit misleading and deceptive conduct," ASIC deputy chair Sarah Court said. "Fund managers need to make sure that they accurately represent the nature of both their direct and indirect investments ... |
| | | | ... the representations, HESTA overstated its commitment to reducing investment in carbon emissions," ASIC deputy chair Sarah Court said. "Consumers relying on HESTA's representation may have been denied the opportunity to make informed decisions about ... |
| | | | ... and procedures that applied to logging, investigating, managing and responding to those concerns. ASIC deputy chair Sarah Court said responsible entities are responsible for the governance of investor funds and, as such, must have proper processes, procedures ... |
| | | | ... entity must have measures in place for ensuring it complies with its obligations as an AFS licensee," ASIC deputy chair Sarah Court said. "These include having adequate governance controls and procedures to ensure that disclosures made in relation to ... |
| | | | ... in 2021 and 2022. Active Super and Vision Super merged on March 1, now home to 165,000 members. ASIC deputy chair Sarah Court said: "This is a significant penalty that sends a strong message to companies making sustainable investment claims that those ... |
| | | | ... and marketing information in helping consumers to make informed investment decisions." Meantime, ASIC deputy chair Sarah Court said it is essential that companies do not misrepresent their products or investment strategies. "This is an important decision ... |
| | | | ... Generation LLC. "By Vanguard's own admission, it misled investors on a number of its claims," ASIC deputy chair Sarah Court said. "In this case, Vanguard promised its investors and potential investors that the product would be screened to exclude ... |
| | | | ... misled by statements that certain energy companies would be excluded, when they were not," said ASIC deputy chair Sarah Court. "In this case, the exclusions and screenings were outsourced to a third-party company without significant oversight by Northern ... |
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