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Showing 1151 - 1160 of 1614 results for "Investigation"

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 ...

Tax consultant cops two years jail for insider trading

MARK STORY  |  THURSDAY, 13 DEC 2012
... markets work and individuals behave," Ms Gibson said. ASIC acknowledged the cooperation provided by PwC during the investigation.

Adviser permanently banned after eight year fraud

ALEX DUNNIN  |  WEDNESDAY, 5 DEC 2012
ASIC yesterday obtained court orders permanently banning a financial adviser after the NSW Supreme Court found she defrauded clients of more than $3.6 million over eight years. According to a statement from ASIC, the Court ruled that Melinda Scott would ...

Audit report "disappointing"

BEN COLLINS  |  WEDNESDAY, 5 DEC 2012
... Last month ASIC banned PricewaterhouseCoopers partner Stephen Cougle from auditing anything until 2015 after an investigation into his work on the financial reports of Centro Properties Group and Centro Retail Group for the 2006-07 financial year. "Following ...

Ex-Kangaroo and Storm adviser banned for non-compliance

MARK STORY  |  MONDAY, 3 DEC 2012
... May 2006 and June 2009 and is currently an authorised representative with AAA Financial Intelligence Ltd. An ASIC investigation found that between 20 November 2007 and 10 December 2010, Mr Fullerton-Smith: Failed to comply with financial services laws ...

Bogus super fund a wake-up call for investors: ASIC

MARK STORY  |  THURSDAY, 29 NOV 2012
ASIC has received complaints regarding the activities of Swiss Private Capital Ltd (Swiss Private) and their offers of interests in 'Aussie Super -Superannuation Fund'. Purporting to be a Dubai-based private investment firm with branch offices in New ...

ASIC takes action against Storm adviser

BEN COLLINS  |  THURSDAY, 22 NOV 2012
... strategy recommended by Storm, said the Australian Securities & Investments Commission (ASIC). ASIC said that after its investigation, it was also concerned that while he worked for the failed Storm, Webb did not warn those clients that this advice may ...

PwC partner banned from auditing

BEN COLLINS  |  TUESDAY, 20 NOV 2012
... confidence and integrity in Australia's capital markets, said Price. The enforceable undertaking follows ASIC's investigation into the 2007 financial reports of CNP and CER. In the case of CNP, the financial report failed to properly classify as current ...

34 months prison for ex- GuardianFP adviser

BEN COLLINS  |  TUESDAY, 13 NOV 2012
... of dishonest conduct in relation to financial services. An Australian Securities & Investments Commission (ASIC) investigation discovered that Heathwood made 65 false insurance applications between August 2009 and May 2011, which saw her collect total ...