CORPORATIONS – civil penalty proceedings – liability phase – duties of officers of responsible entity of a registered managed investment scheme – whether appellant an officer of the responsible entity – where primary judge held that the contraventions were established – appeal dismissed
PRACTICE AND PROCEDURE – application to amend notice of appeal – where proposed contention contrary to admission on the pleadings, contrary to the way in which the proceedings were conducted at first instance, would cause prejudice to the respondent, and is untenable – application dismissed
CORPORATIONS – civil penalty proceedings – penalty phase – where primary judge ordered that the appellant be disqualified from managing corporations for five years and pay a pecuniary penalty of $150,000 – whether primary judge erred in exercise of discretion – appeal dismissed
Original article available at: https://www.judgments.fedcourt.gov.au/judgments/Judgments/fca/full/2024/2024fcafc0125
For more information, see the original judgement.
