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Showing 1191 - 1200 of 1612 results for "Investigation"

Former Bell Potter adviser charged

MELANIE TIMBRELL  |  WEDNESDAY, 11 APR 2012
... adviser with Bell Potter Securities Limited has been charged with 15 counts of fraudulent conduct following an ASIC investigation. Glenn Russell Evans, of Leichhardt, NSW is alleged to have used client funds for his own personal use instead of investing ...

CFP adviser offers ASIC EU

ELISE BURGESS  |  THURSDAY, 5 APR 2012
... failed to meet various obligations as a financial adviser. An Australian Securities and Investments Commission (ASIC) investigation into the conduct of several CFPL adviser actions revealed that between March 1 2005 and February 27 2009 Baker failed ...

Market Wrap - Morning

AAP  |  FRIDAY, 23 MAR 2012
... talk that Europe's auto industry suffers from overcapacity. WASHINGTON - US trade authorities have announced an investigation into yet another Chinese export product, this time the veritable kitchen sink. LOS ANGELES - Ticket sales for movies shown around ...

AAT confirms ASIC planner ban

ELISE BURGESS  |  FRIDAY, 16 MAR 2012
... for the protection of the public, and maintaining public confidence in the financial services profession. ASIC's investigation into the conduct of several other former CFP advisers continues. "ASIC is committed to taking action against critical gatekeepers ...

Gold Coast adviser faces criminal charges

CLAIRE MCGREAL  |  THURSDAY, 15 MAR 2012
... of $495,000 or both. Weaver was banned from providing financial advice for five years last May following an ASIC investigation.

Former Stonebridge broker banned for three years

RACHEL DAVIS  |  MONDAY, 12 MAR 2012
... Kulisiewicz, of Pyrmont in New South Wales, from providing financial services for three years. The banning follows an investigation into Kulisiewicz's conduct while he was a broker at StoneBridge Securities Limited (StoneBridge). ASIC found that on 19 ...

APRA accepts EU from former Trio director

CLAIRE MCGREAL  |  WEDNESDAY, 7 MAR 2012
... consequences that arose and now accepts he should have acted differently in relation to APRA's concerns. "APRA's investigation in relation to Trio is continuing. APRA intends to take action against any former Trio directors who had left the Trio Board ...

Adviser banned for chasing commissions

ELISE BURGESS  |  WEDNESDAY, 7 MAR 2012
... an authorised representative of GuardianFP. She provided financial advice and arranged life insurance. During an investigation by the Australian Securities and Investments Commission (ASIC), it found Heathwood falsified 65 insurance policies between ...

Superannuation needs more regulatory resilience: ASIC

MELANIE TIMBRELL  |  MONDAY, 20 FEB 2012
The exponential growth in superannuation has been named the first challenge to growing the resilience of the Australian regulatory perimeter by Greg Medcraft, chairman of ASIC. Speaking at the ASIC Summer School in Sydney this morning, Medcraft said ...

ASIC brings criminal charges against SMSF adviser

CLAIRE MCGREAL  |  WEDNESDAY, 15 FEB 2012
... appeared in court, charged with obtaining money by deception and of making a false or misleading statement to ASIC. The investigation into Craig Gerard Dangar relates to his time as an adviser at SMSF Consultants in Sutherland, where he worked from January ...