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Which firms got a rap on the knuckles in 1H23?

From greenwashing allegations and interim stop orders to fines and penalties, Money Management has rounded up all the disciplinary actions faced by firms in the first half of 2023.

New south walesMichael jefferson dunjeyJustice stewart andersonDisciplinary panelMacquarie groupCoaching pty ltdVasco responsible entity servicesFinancial groupInsignia financial ltdQueensland limitedHoldings ltdSouthport magistrates courtBell financial groupCommonwealth bankInsignia financialPivotal diversified fund

Diversified fund receives interim stop orders from ASIC

The order for Vasco’s Pivotal Diversified Fund stemmed from concerns regarding the deficiencies in the target market determination of the fund.

Investments commissionVasco responsible entity servicesPivotal diversified fundAustralian securitiesVasco responsible entity services limitedStop order

Regulator issues interim stop orders

Deficiencies in its target market determination has seen interim stop orders placed on the Pivotal Diversified Fund offered by Vasco.

Pivotal diversified fundVasco responsible entity servicesResponsible entity services

ASIC places interim stop order on diversified fund

The regulator identified deficiencies in the fund’s target market determination. On Monday, ASIC announced it had placed an interim stop order preventing Vasco Responsible Entity Services from off

Pivotal diversified fundVasco responsible entity servicesPivotal diversified

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