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Showing 1161 - 1170 of 1612 results for "Investigation"

Trading mistake forces Indian exchange crash

BEN COLLINS  |  MONDAY, 8 OCT 2012
... related to the 59 mistaken orders, reported AAP. National Stock Exchange senior vice-president Ravi Varanasi said an investigation would be completed soon "into how orders were sent despite controls being in place for trading members. "But from what ...

Credit Suisse fined by ASIC

MELANIE TIMBRELL  |  FRIDAY, 28 SEP 2012
... The pecuniary penalty reflected the fact that Credit Suisse had self reported to ASIC, co-operated throughout the investigation, did not dispute any material facts, agreed not to contest the matter and took remedial action to prevent recurrence.

Adviser faces court on 22 charges

LINDA HAUSKEN  |  THURSDAY, 13 SEP 2012
... $500,000 from seven client accounts without their knowledge or authority. These charges follow the corporate watchdog's investigation into Veitch's former role as a financial adviser. Veitch was an authorised representative of WealthSure from December ...

ASIC lines up Macquarie Private

MELANIE TIMBRELL  |  THURSDAY, 6 SEP 2012
ASIC is in the preliminary stages of an investigation into Macquarie's private wealth division over concerns related to potential breaches by advisers. It is understood that the regulator has written to Macquarie Group and issued a request for information ...

Barclays announces new CEO amid new investigation

MELANIE TIMBRELL  |  FRIDAY, 31 AUG 2012
... Jenkins new chief executive, just one day after the announcement the Serious Fraud Office (SFO) had launched an investigation into a 2008 deal with Qatar's sovereign wealth fund. Jenkins has been brought in to replace Bob Diamond, who resigned last month ...

Ruling returns $62 million to MF Global customers

MELANIE TIMBRELL  |  THURSDAY, 30 AUG 2012
... banks and other companies pursuing claims against the brokerage unit in the US, where there is an ongoing federal investigation into the misuse of client funds. This relates to allegations customer accounts were tapped to meet the firm's needs when pressure ...

QLD adviser cops five year ban

LINDA HAUSKEN  |  TUESDAY, 21 AUG 2012
... 2008. In addition, from 2003 to 2008 she was authorised representative of Securitor Financial Group. Following an investigation into Giraldo, ASIC found that she engaged in misleading and deceptive conduct between 1 January 2006 and 31 March 2011. The ...

Greens plan to fell Westpac-backed logging

MELANIE TIMBRELL  |  FRIDAY, 17 AUG 2012
... the Government to engage with Westpac on ending links with Solomon Islands forestry in addition to conducting an investigation into illegal forestry practices impacting the nation's industry. "Westpac promotes itself as a bank that takes the environment ...

ASIC targets securities dealers

MELANIE TIMBRELL  |  TUESDAY, 14 AUG 2012
... conduct," said deputy chairman Belinda Gibson. The latest market supervision report said 36 matters were referred for investigation, a 13-case jump on the previous period. The matters involved potential insider trading (13), market manipulation (5) ...

ASIC bans ABC LC auditor

BEN COLLINS  |  THURSDAY, 9 AUG 2012
... accepted an enforceable undertaking (EU) from Brisbane auditor, Simon Andrew Peter Green. The EU follows ASIC's investigation into Green's conduct of the audit of the 2007 financial report of ABC Learning Centres Limited (ABC). At the time, Green was ...