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Showing 1061 - 1070 of 1611 results for "Investigation"

ASIC budget cuts send the wrong message: Greens

LAURA MILLAN  |  MONDAY, 2 JUN 2014
... caused the GFC," he said. "By cutting ASIC's funding the government is outsourcing the professional regulation and investigation of dodgy business dealings and white collar crime to the community." Read Financial Standard's coverage of the budget her ...

Macquarie exec posed as family office to learn secrets

STAFF WRITER  |  FRIDAY, 30 MAY 2014
... posed as an employee of a fake family office to gather confidential financial information from a competitor. An investigation by the Australian Financial Review found that head of Macquarie Agricultural Funds Management Tim Hornibrook extracted sensitive ...

Former finance broker convicted for fraud

STAFF WRITER  |  THURSDAY, 29 MAY 2014
A former finance broker has been convicted of two fraud charges, following an investigation from the Australian Securities and Investments Commission (ASIC). Riyanka Puteri Shiraz, of Canterbury, New South Wales, admitted to using the identities of ...

ASIC warns of complacency over confidential information

MARK SMITH  |  TUESDAY, 27 MAY 2014
... by companies and their advisers before the announcement of market-sensitive corporate deals. The findings of this investigation are published in Report 393 Handling of confidential information: Briefings and unannounced corporate transactions ( REP 393 ...

ASIC bans former Westpac trader

LAURA MILLAN  |  WEDNESDAY, 21 MAY 2014
... trading on a range of financial products, including foreign exchange and cross currency swaps on behalf of Westpac. An investigation of the Australian Securities and Investments Commission (ASIC) found that he entered more than 100 fictitious trading ...

CBA forced to review poor compensation methods

LAURA MILLAN  |  MONDAY, 19 MAY 2014
... in the process were with the communication," he said. ASIC's move on CBA came days after a joint Fairfax and ABC investigation shed light on more cases of poor advice within the bank's financial planning businesses. The media reports also prompted Shine ...

Queensland advice firm falls foul of regulator

MARK SMITH  |  THURSDAY, 15 MAY 2014
... services firm LCL Capital after it found failings in the way the companyA monitored and supervised its advisers. ASIC's investigation came after a review of the advice provided by one representative, Timothy Bryce, who previously worked for Sherwin Financial ...

NAB and ABS employees arrested for insider trading fraud

LAURA MILLAN  |  FRIDAY, 9 MAY 2014
... Canberra and in Melbourne to face charges of insider trading and abuse of public office. The charges follow a joint investigation of the Australian Securities and Investments Commission (ASIC) and the Australian Federal Police (AFP). Officials from both ...

Prime Super will not appoint HIP directors to board

LAURA MILLAN  |  FRIDAY, 9 MAY 2014

New reports to stir financial planning perfect storm

LAURA MILLAN  |  MONDAY, 5 MAY 2014
... expected to unveil the practices of rogue financial advisers within Commonwealth Bank planning arm, following a joint investigation from Fairfax and the ABC. "Our members who are doing the right thing are clearly disappointed when we have negative reporting ...