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Showing 1101 - 1110 of 1612 results for "Investigation"

ASIC accepts EU from two advice firms

LAURA MILLAN  |  TUESDAY, 24 SEP 2013
... an enforceable undertaking with ASIC that prevents him from providing financial services for four years. ASIC's investigation found that between August and September 2012, Banfield, an authorised representative and director of Lotus Securities Limited ...

IOOF determined to get a slice of the trust pie

LAURA MILLAN  |  FRIDAY, 20 SEP 2013
... to vote for the Perpetual offer. However, the Australian Competition and Consumer Commission (ACCC) conducted an investigation over concerns that Perpetual's acquisition of The Trust Company could damage market competition, especially because The Trust ...

ACCC approves Perpetual offer for The Trust Company

LAURA MILLAN  |  THURSDAY, 19 SEP 2013
... The Trust Company and therefore of 13.4% of its own business would damage market competition. "After a thorough investigation, and subject to the undertaking to divest the shareholding in Equity Trustees, the ACCC's view is that this acquisition is unlikely ...

WealthSure undertakes major reform of the business

LAURA MILLAN  |  TUESDAY, 3 SEP 2013
... provide external training to its compliance staff. The reform of the business started six months ago after an ASIC investigation identified compliance deficiencies and failures within the organisation. Yesterday, ASIC accepted an enforceable undertaking ...

ASIC accepts enforceable undertaking from WealthSure

LAURA MILLAN  |  MONDAY, 2 SEP 2013
... 2018. The Australian Securities and Investments Commission (ASIC) has accepted an EU from both companies after an investigation that started in December 2011 identified compliance deficiencies and failures within the organisations. The EU requires WealthSure ...

Wilson HTM reports losses after year of "disruptions"

JAMES FERNYHOUGH  |  FRIDAY, 30 AUG 2013
... former managing director Andrew Coppin, as well as "some unexpected changes in leadership and staff." The independent investigation did not substantiate claims that Coppin had engaged in inappropriate behaviour. Coppin resigned as managing director on ...

PIS could face class action over "inadequate" advice

LAURA MILLAN  |  THURSDAY, 29 AUG 2013
... intention to wind up the scheme in September 2011. Investors have approached Slater & Gordon, which has begun an investigation. The practice's group leader Ben Whitwell said that it is likely that most investors were introduced to the investment on the ...

WealthSure faces restructure after Court case

LAURA MILLAN  |  FRIDAY, 23 AUG 2013
... This week, former WealthSure adviser Brian William Veitch pleaded guilty to 22 criminal charges following an ASIC investigation.

Wealthsure adviser guilty to criminal charges

LAURA MILLAN  |  WEDNESDAY, 21 AUG 2013
... adviser has pleaded guilty to 22 criminal charges following an Australian Securities and Investments Commission (ASIC) investigation. Appearing in the Sydney District Court, Brian William Veitch, formerly of Minto, New South Wales, pleaded guilty to ...

Queensland adviser permanently banned

MARK SMITH  |  FRIDAY, 16 AUG 2013
... financial adviser has been permanently banned by the Australian Securities and Investments Commission (ASIC) after an investigation found he provided inappropriate and unreasonable advice. ASIC's investigation found that between October 2010 and August ...