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Showing 1201 - 1210 of 1614 results for "Investigation"

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 ...

Trio super victims receive compensation

CLAIRE MCGREAL  |  WEDNESDAY, 8 FEB 2012
More than $54 million in compensation is set to be pumped into the super accounts of over 5,000 people whose retirement savings were defrauded in the collapse of Trio Capital from today. The government is granting the financial assistance to members ...

ASIC charges against new wave of boiler room scams

ELISE BURGESS  |  MONDAY, 6 FEB 2012
... said Bruhn was the sole director of these two companies and withdrew the money from company bank accounts. ASIC's investigation found that, between mid-August and November 2011, approximately $350,000 was deposited by investors into these accounts. During ...

ASIC continues Trio crackdown

CLAIRE MCGREAL  |  THURSDAY, 2 FEB 2012
The investigation into the collapse of failed fund manager Trio Capital continues, with the banning of another figure with ties to the firm. Tony Maher, who changed his name from Paul Gresham, has been permanently banned from working in the Australian ...

Accountant charged with 37 offences

ELISE BURGESS  |  THURSDAY, 15 DEC 2011
... Appearing before the Melbourne Magistrates' Court following an Australian Securities and Investments Commission (ASIC) investigation, Letten is charged with 21 counts of operating unregistered managed investment schemes, 1 count of operating without ...

ASIC cancels South Australian financial services licence

CLAIRE MCGREAL  |  THURSDAY, 17 NOV 2011
... advice, and dealing in financial products including derivatives, foreign exchange contracts and securities. ASIC's investigation alleged the firm failed to carry out appropriate background checks before appointing authorised representatives, didn't have ...

ASIC investigations lead to charges, interim orders

CLAIRE MCGREAL  |  TUESDAY, 15 NOV 2011
... and one charge of dishonestly using his position as an employee of Hogan's. The charges follow an 18-month ASIC investigation and relate to when Kur provided advice in relation to options trading and dealing in options trading for a number of overseas ...

Adviser charged with fraud

ELISE BURGESS  |  THURSDAY, 10 NOV 2011
... A former senior adviser at Sydney firm, Noall & Co, faced charges of fraud in court this week following an ASIC investigation. James Patrick Hobson, a senior financial adviser, faced Downing Centre Local Court for allegations that he defrauded four clients ...

ASIC bans authorised representative of Romad Financial Services

CLAIRE MCGREAL  |  TUESDAY, 8 NOV 2011
... Responsible Manager and Key Person of RFS's Australian financial services licence (AFS) since June 2004. An ASIC investigation found he failed to comply with financial services laws over two years between April 2009 and 2011, and that there may be reason ...