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Showing 1211 - 1220 of 1614 results for "Investigation"

Former financial adviser gets three years jail time

CLAIRE MCGREAL  |  MONDAY, 7 NOV 2011
... Services, for whom he was an authorised representative between June 2007 and 13 May 2008. The commission said the investigation is part of its commitment to building confidence in the integrity of Australia's financial planning industry by ensuring those ...

APRA accepts EU from former Trio director

CLAIRE MCGREAL  |  FRIDAY, 4 NOV 2011
... over 5,000 members of the Trio superannuation entities due to the loss of funds to fraud or theft. The APRA Trio investigation continues.

ASIC annual report highlights industry trends

ELISE BURGESS  |  MONDAY, 31 OCT 2011
... businesses and licensees, a 17% increase on the previous year; 28% of misconduct reports were escalated for compliance, investigation or surveillance. Meanwhile, the number of managed accounts being launched in the last 12 months was almost half that ...

AAT grants stay for AFSL cancellation decision

ELISE BURGESS  |  FRIDAY, 28 OCT 2011
... professional indemnity insurer of any complaints made against it in the period of the review. Earlier this month, an ASIC investigation determined Romad had failed to ensure that its authorised representatives complied with the financial services laws ...

Tech glitch halts trading on Australian Securities Exchange

AAP  |  THURSDAY, 27 OCT 2011
... Matthew Gibbs said the market was halted at 1005 AEDT after a technical issue was detected. "That is currently under investigation," Mr Gibbs said. He declined to provide more details. Mr Gibbs said 6,700 trades had been made before trading was halted ...

ASIC accepts Commonwealth Financial Planning EU

MEDIA RELEASE  |  WEDNESDAY, 26 OCT 2011
... it has accepted an enforceable undertaking (EU) from Commonwealth Financial Planning Limited (CFP) following an investigation into the provision of advice by some of its financial advisers. CFP is a wholly owned subsidiary of the Commonwealth Bank of ...

Privacy Commissioner opens investigation into First State Super

ELISE BURGESS  |  THURSDAY, 20 OCT 2011
Inquiries are underway after the Australian Privacy Commissioner, Timothy Pilgrim, said there will be an investigation into the First State Super security breach as the fund notifies its entire 770,000 member base. The commissioner weighed in on the ...

Former Sonray chief gets jail time following ASIC charges

CLAIRE MCGREAL  |  MONDAY, 17 OCT 2011
... Last month the company's sole director Russell Johnson was arrested and charged with 24 offences following an ASIC investigation. His case is back before Melbourne Magistrates Court in December.

Planner banned as watchdog continues industry clean-up

CLAIRE MCGREAL  |  TUESDAY, 11 OCT 2011
... based planner. Stephen Paul Hing of Enmore has been barred from providing financial services for four years after an investigation revealed he took part in unauthorised discretionary trading. Hing worked as an authorised representative of Novus Capital ...

BBC denies trader a hoax interview

RACHEL DAVIS  |  THURSDAY, 29 SEP 2011
The BBC has denied the trader who became an overnight Internet sensation, Alessio Rastani, was a hoax interview. London based independent trader, Alessio Rastani claimed in an interview, aired on the BBC on Monday that he went to bed every night "dreaming ...