Federal Court of Australia
Federal Court of Australia
Australian Securities and Investments Commission v RI Advice Group Pty Ltd (No 3) [2022] FCA 84 File number: VID 1170 of 2019
Judgment of: MOSHINSKY J
Date of judgment: 2 February 2022
Catchwords: CORPORATIONS LAW – financial services and markets – best interests obligations – pecuniary penalty – applicable principles – number of contraventions – number of courses of conduct – whether individual should be excused under s 1317S of the Corporations Act 2001 (Cth) – determination of appropriate penalties
Legislation: Corporations Act 2001 (Cth), ss 912A, 961B, 961G, 961H, 961J, 961L, 961Q, 1317E, 1317G, 1317S
Cases cited: Australian Securities and Investments Commission v AGM Markets Pty Ltd (in liq) (No 4) (2020) 148 ACSR 511 Australian Securities and Investments Commission v AMP Financial Planning Pty Ltd (No 2) (2020) 377 ALR 55 Australian Securities Commission v Donovan (1998) 28 ACSR 583 Australian Securities and Investments Commission v Dover Financial Advisers Pty Ltd (No 3) 150 ACSR 185 Australian Securities and Investments Commission v Financial Circle Pty Ltd (2018) 131 ACSR 484 Australian Securities and Investments Commission v GE Capital Finance Australia, in the matter of GE Capital Finance Australia [2014] FCA 701 Australian Securities and Investments Commission v Healey (No 2) (2011) 196 FCR 430 Australian Securities and Investments Commission v Vines (2006) 58 ACSR 298 Australian Securities and Investments Commission v Wealth & Risk Management Pty Ltd (No 2) (2018) 124 ACSR 351 Australian Securities and Investments Commission v Westpac Banking Corporation [2019] FCA 2147 Australian Securities and Investments Commission v Westpac Securities Administration Ltd, in the matter of Westpac Securities Administration Ltd [2021] FCA 1008 Markarian v The Queen (2005) 228 CLR 357 Re HIH Insurance Ltd (in prov liq) and HIH Casualty and General Insurance Ltd (in prov liq); Australian Securities and Investments Commission v Adler (2002) 42 ACSR 80 Singtel Optus Pty Ltd v Australian Competition and Consumer Commission (2012) 287 ALR 249 Trade Practices Commission v CSR Ltd [1991] ATPR 41-076; [1990] FCA 762
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