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Showing 1181 - 1190 of 1614 results for "Investigation"

Adviser pleads guilty to dishonest conduct

LINDA HAUSKEN  |  WEDNESDAY, 27 JUN 2012
... & Investments Commission permanently banned Heathwood from providing financial services following the regulators investigation into the conduct.

ASIC winds up unregistered managed investment scheme

BEN COLLINS  |  FRIDAY, 15 JUN 2012
... the scheme. The Court has ordered that Taylor hold a meeting of Master Fund investors by 23 July 2012. During its investigation into unregistered offshore fund operators targeting Australian investors and self managed superannuation funds, in 2007 and ...

FSS responds to Privacy Commissioner's Report

RACHEL DAVIS  |  FRIDAY, 8 JUN 2012
... FSS's administrative manager, Pillar and FSS itself acted immediately to contain the incident, commenced an internal investigation of the incident, reviewed data security practices and sought external advice on how to handle the situation," said the ...

Former Lonsec director charged with insider trading

BEN COLLINS  |  THURSDAY, 7 JUN 2012
... has appeared in the Magistrates' Court of Victoria charged with 14 counts of insider trading, following an ASIC investigation. The Australian Securities & Investments Commission investigation (ASIC) alleges that in the course of advising Clean Seas Ltd ...

Trio: ASIC evidence insufficient to prosecute Flader

LINDA HAUSKEN  |  WEDNESDAY, 6 JUN 2012
ASIC revealed yesterday it has insufficient evidence to prove controller of the Trio Group, Jack Flader, has breached Australian Law. The Parliamentary Joint Committee on Corporations and Financial Services inquiry into the collapse of Trio Capital ...

Emerging managers add twice the alpha

ALEX DUNNIN  |  TUESDAY, 5 JUN 2012
... probably reflects a decline in issuance of new funds immediately following such periods but is a topic for further investigation". The conclusion, he said, is that emerging managers perform better than established managers on almost every performance ...

Commonwealth FP adviser banned

LINDA HAUSKEN  |  TUESDAY, 5 JUN 2012
... supervision requirements for six months should he decide to re-enter the financial services industry. The EU follows an investigation into the advice provided by several of CFPL's financial advisers including Don Nguyen, Simon Langton, Christopher Baker ...

Financial adviser sentenced on fraud charges

LINDA HAUSKEN  |  WEDNESDAY, 23 MAY 2012
... financial adviser has been convicted and sentenced on fraud charges in the Sydney District Court, following an ASIC investigation. Hobson was a senior financial adviser employed by Binma which operates the North Sydney firm Noall & Co and was an authorised ...

Dealer group launches mobile medical service

RACHEL DAVIS  |  FRIDAY, 18 MAY 2012
Non-aligned dealer group Synchron has launched a mobile medical and pathology service, in partnership with Health Predictions, to assist advisers with the underwriting process. "Currently, if an adviser needs to arrange medical investigations for a ...

PJC blasts Trio follow-up

MELANIE TIMBRELL  |  WEDNESDAY, 16 MAY 2012
... Shadow Minister for Financial Services also called on the government to appropriately resource ASIC to allow a proper investigation of the various offshore companies into which Trio funds were invested. "The government must also appropriately resource ...