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Showing 1081 - 1090 of 1614 results for "Investigation"

Finance broker pleads guilty to car scam identity theft

STAFF WRITER  |  FRIDAY, 28 MAR 2014
... business placed its staff in motor dealerships to help the dealers' customers obtain finance to buy cars. An ASIC investigation found Shiraz, 22, used tax, employment and income documents and personal details of two former clients to create false loan ...

We did a "pretty good job" in CBA planning case: ASIC

LAURA MILLAN  |  WEDNESDAY, 26 MAR 2014
... submission to the Senate inquiry by former CFP adviser and whistleblower Jeffrey Morris suggested that "a proper investigation would reveal at least 100 current or former planners of CFP whose clients should be compensated for dodgy and or just plain ...

Whistleblower claims the existence of 100 CBA rogue advisers

LAURA MILLAN  |  MONDAY, 24 MAR 2014
Former Commonwealth Financial Planning adviser and whistleblower Jeffrey Morris has "no doubt" that a proper investigation by the Australian Securities and Investments Commission (ASIC) would reveal at least 100 current or former rogue CBA advisers. ...

Westpac exec gets ASIC ban after preying on elderly's finances

ALICE URIBE  |  WEDNESDAY, 12 MAR 2014
... pensioner, a carer or suffering from a disability, and would not be able to repay the loan if the scheme failed. An ASIC investigation found that the offences happened between July 2008 and June 2010 According to an ASIC statement the regulator determined ...

Financial Adviser convicted of 'tombstoning': ASIC

HARRY PAGE  |  THURSDAY, 6 MAR 2014
... imprisonment by way of Intensive Correction Order (ICO). Vyas received two years as a result of his cooperation with ASIC's investigation and his decision to plead guilty at the earliest possible stage.

AIA pays advisers to move to hybrid commission

LAURA MILLAN  |  THURSDAY, 27 FEB 2014
... Australian Securities and Investments Commissions (ASIC) recently asked insurance companies to provide data for an investigation on inappropriate insurance switching. "Given our experience with poor advice on life insurance, ASIC considers life insurance ...

ASIC accepts EU from forex broker over prohibited IMA

STAFF WRITER  |  TUESDAY, 25 FEB 2014
... enforceable undertaking from online foreign exchange broker Forex Financial Services Pty Ltd (Forex FS). ASIC's investigation found that between March 2010 and October 2011, Forex FS offered an account known as an individually managed account (IMA) which ...

Better ASIC-AFP relationship could lead to more prosecutions

LAURA MILLAN  |  MONDAY, 24 FEB 2014
There could be more legal prosecutions if the "inefficient" relationship between the Australian Securities and Investments Commission (ASIC) and the Australian Federal Police (AFP) was remedied, the Senate Economics Reference Committee has heard. ASIC ...

Ausbil appoints external auditor to investigate fund fees

LAURA MILLAN  |  WEDNESDAY, 19 FEB 2014
... reported the issue to the Australian Securities and Investments Commission (ASIC) and has also started an internal investigation. The Emerging Leaders Fund structure was changed in 2004, but Ausbil did not alter the constitution of the fund to reflect ...

Accountant guilty of operating 21 unregistered schemes

LAURA MILLAN  |  THURSDAY, 30 JAN 2014
... operating 21 unregistered managed investment schemes. Accountant Mark Ronald Letten pleaded guilty following an investigation by the Australian Securities and Investments Commission (ASIC). Letten is the former director of LGH Holdings, which is now ...