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Showing 991 - 1000 of 1612 results for "Investigation"

Medcraft defends ASIC record

ALEX BURKE  |  FRIDAY, 14 AUG 2015
... proceeding," noting this was "consistent with User Pays principles." "Accordingly, ASIC will consider recovering investigation costs in each case where the legislative requirements are met," he said.

Westpac insurance adviser gets permanent ban

LAURA MILLAN  |  THURSDAY, 13 AUG 2015
... relation to Hodgetts' conduct, which was uncovered by an Australian Securities and Investments Commission (ASIC) investigation. ASIC has banned a total of five advisers since it started its Wealth Management Project in October 2014.

ASIC bans Provident Capital director

STAFF WRITER  |  MONDAY, 6 JUL 2015
... 2008 to 7 May 2014. The firm went into receivership on 3 July 2012 and into liquidation on 24 October 2012. ASIC's investigation found that Sweeney engaged in misleading or deceptive conduct in relation to a financial product. This specifically related ...

ASIC reviews One Big Switch, bans adviser

DARREN SNYDER  |  TUESDAY, 30 JUN 2015
... director of Protect Ensure since 18 April 2006. Protect Ensure was placed into liquidation on 12 June 2015. An ASIC investigation found that between July 2013 to December 2014, Robin caused a series of unsecured fixed interest notes offers to be made ...

PwC to review IOOF advice research division

LAURA MILLAN  |  WEDNESDAY, 24 JUN 2015
IOOF has commissioned PwC to conduct a review of its advice research division following media reports of misconduct such as insider trading and front running. Group head of research and portfolio construction Matthew Drennan "is currently reviewing ...

ASIC silent on IOOF investigation

LAURA MILLAN  |  MONDAY, 22 JUN 2015
... IOOF may have failed to inform the regulator about cases of misconduct by one of their top executives. The media investigation report concerned IOOF head of the advice research team Peter Hilton. Hilton was moved away from IOOF's top job in the research ...

Trillion dollar super industry attractive to organised criminals

DARREN SNYDER  |  MONDAY, 1 JUN 2015
The Australian Crime Commission believes Stronger Super reforms implemented from 2013 have reduced illegal early release schemes run through self-managed superannuation funds (SMSFs). In its latest report, Organised Crime in Australia 2015, the commission ...

Banned for taking $4m from SMSFs

LAURA MILLAN  |  MONDAY, 1 JUN 2015
... Virgin Islands outside of the jurisdiction of the Australian Securities and Investments Commission (ASIC). An ASIC investigation began in 2011 and found that Royale Capital and ActiveSuper were using investors' money to purchase distressed properties ...

ASIC bans Macquarie representative

DARREN SNYDER  |  TUESDAY, 26 MAY 2015
... after he engaged in unauthorised discretionary trading on his clients' accounts and created false records. ASIC's investigation found between February 2010 and November 2012, O'Malley was engaged in discretionary trading on nine client accounts. Macquarie ...

ASIC bans convicted fraud "mastermind"

ALEX BURKE  |  FRIDAY, 22 MAY 2015
... equities in non-existent companies via brokers in Madrid to over 1000 UK investors. At the conclusion of its seven-year investigation, codenamed Operation Steamroller, The Serious Fraud Office had Revell-Reade extradited to the UK in 2012 and in 2014 ...