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Showing 1121 - 1130 of 1612 results for "Investigation"

ASIC to face parliamentary inquiry over CBA

LAURA MILLAN  |  THURSDAY, 20 JUN 2013
... information on what we do and what we seek to achieve," an ASIC spokesperson said. The inquiry was prompted by an investigation by Fairfax Media that revealed that it took 16 months for ASIC to act in the case involving Commonwealth Financial Planner ...

Wilson HTM defies loss expectations

LAURA MILLAN  |  THURSDAY, 20 JUN 2013
... and has now more than 80 advisers, which focus on serving high net worth clients. Coppin refused to comment on the investigation that the board is conducting on Coppin after two former staff members claimed that he had engaged in inappropriate behaviour. ...

Company director charged with QLD property fraud

JAMES FERNYHOUGH  |  WEDNESDAY, 19 JUN 2013
... has appeared in the Bathurst Magistrates Court facing eight counts of fraudulent misappropriation, following an investigation by the Australian Securities and Investments Commission (ASIC). Hill, of Hill Stephens & Associates Pty Ltd (HSA), allegedly ...

IFM mulls Asia office

ALICE URIBE  |  TUESDAY, 18 JUN 2013
... director of Commercial Joshua Lim have recently visited Hong Kong, mainland China, Korea and Japan as part of the investigation into opening the business development office "We really need to understand all of our compliance obligations and licensing ...

SEC charges US adviser with pension fund theft

ALEX DUNNIN  |  THURSDAY, 13 JUN 2013
... spouses and children. The other charged senior exectives at the firm became aware of the theft in 2011. The SEC's investigation was conducted jointly by the Chicago Regional Office, the Division of Enforcement's Asset Management Unit, and the Municipal ...

QIC takes stake in US shopping malls

MARK SMITH  |  TUESDAY, 4 JUN 2013
... institutional clients. "Expansion into the United States retail sector is a natural progression and comes after extensive investigation of the real estate market," said QIC Global Real Estate managing director Steven Leigh. Forest City will be the managing ...

Former boutique firm analyst pleads guilty to insider trading

ALICE URIBE  |  THURSDAY, 30 MAY 2013
... pleaded guilty to an insider trading charge following an Australian Securities and Investments Commission (ASIC) investigation. The charge against Jonathan Jin Yi Ang, 25, of St Leonards, NSW, relates to inside information concerning the acquisition ...

Former Bell Potter adviser sentenced to 5 years jail

LAURA MILLAN  |  THURSDAY, 23 MAY 2013
... investors more than $1.6 million. The sentence comes after an Australian Securities and Investment Commission (ASIC) investigation found that Glen Russell Evans of Leichhardt, NSW, failed to invest the money as agreed with his clients between September ...

MoneySmart list of unlicensed companies approaches 700

MARK SMITH  |  FRIDAY, 17 MAY 2013
... based in the British Virgin Islands, has become the latest company to be named and shamed by the regulator. ASIC's investigation found that the company's director, Mr Ullmann, a UK citizen living in Hong Kong, was trying to sell 100 million shares he ...

ASIC sends warning to property spruikers

JAMES FERNYHOUGH  |  THURSDAY, 16 MAY 2013
... Australian Securities and Investment Commission (ASIC) has revoked the credit licence of Money Choice Pty Ltd after an investigation found the company had failed to comply with credit laws. The Melbourne-based company's director, Matthew George, was ...