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Showing 1141 - 1150 of 1612 results for "Investigation"

ASIC eases fears on high frequency trading

MARK SMITH  |  MONDAY, 18 MAR 2013
... related to high frequency trading (HFT) are mostly unfounded. The much-anticipated report, released today, follows investigation into market prices by two internal task forces since June 2012. Electronic, algorithm-based trading has been in use since ...

Former consultant sentenced for insider trading

LAURA MILLAN  |  FRIDAY, 15 MAR 2013
... Act 2002. The sentence came after Lindskog pleaded guilty to the four counts of insider trading following an ASIC investigation. ASIC brought charges related to seven separate orders that Lindskog placed in March, April, May and June 2011 to purchase ...

Former Astarra director permanently banned from fin services

LAURA MILLAN  |  THURSDAY, 7 MAR 2013
... from 12 July 2006 until it was placed into liquidation on 22 December 2009 and his banning is a result of ASIC's investigation of the collapse of Trio Capital. ASIC found Liu engaged in dishonest conduct in matters such as incorrect statements made in ...

ASIC speeds up misconduct probe

MARK SMITH  |  WEDNESDAY, 27 FEB 2013
... since the end of the reporting period, the dark liquidity taskforce has also referred a matter to enforcement for investigation." "As always, ASIC has worked closely with market participants on matters relating to problematic algorithms, in particular ...

Co-operation key to avoiding pain from ASIC

MARK SMITH  |  THURSDAY, 21 FEB 2013
... a law firm specialising in the area. A seemingly endless stream of enforced undertakings, cancelled licenses and investigation from the regulator has raised questions about the best way to respond to scrutiny. Dr Hillary Ray, senior lawyer at The Fold ...

CalPERS cry foul play, backs lawsuit

MICHELLE BALTAZAR  |  TUESDAY, 19 FEB 2013
... have uncovered tells a different story," said Acting Associate Attorney General Tony West, in a statement. "Our investigation revealed that, despite their representations to the contrary, S&P's concerns about market share, revenues and profits drove ...

Ex-drug dealers now hitting-up SMSFs: ACC

BEN COLLINS  |  THURSDAY, 14 FEB 2013
... Lacey said: "let me be clear, organised crime is targeting this [the SMSF] sector." The ACC spearheaded a major investigation into organised crime-driven investment fraud after it was approached by the South Australian Police Force. After it used its ...

ASIC court order against Sydney adviser

LAURA MILLAN  |  WEDNESDAY, 13 FEB 2013
... until April 29. On this day, the matter will return to the Supreme Court of New South Wales and until then, ASIC's investigation continues.

ASIC cancels national planning firm's license

MARK SMITH  |  THURSDAY, 7 FEB 2013
... permanently banned Constantinos Patniotis, of East Perth, Western Australia, from engaging in credit activities after an investigation found he failed to comply with numerous credit laws. Kell said: "People who deliberately flout credit laws will be ...

Former mortgage broker convicted

MARK STORY  |  FRIDAY, 25 JAN 2013
... approximately $350,000. Only one loan of $532,000 was approved. Having taken into account his cooperation with ASIC's investigation, good character, history and remorse for acting dishonestly in this case, the Sydney District Court imposed a two-year ...