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Showing 1251 - 1260 of 1614 results for "Investigation"

US insider trading probe rocks hedge fund community

JOHN MCDULING  |  WEDNESDAY, 24 NOV 2010
... confirmed in a regulatory filing that it "has received an inquiry regarding the recently disclosed insider trading investigation on Wall Street calling for general information and intends to cooperate fully with that inquiry". The New York Times also ...

Tasmanian former adviser charged for no AFSL

MEDIA RELEASE  |  TUESDAY, 23 NOV 2010
... Magistrates' Court charged with two counts of carrying on a financial services business without an AFSL, following an investigation by ASIC. The corporate regulator alleges that between January 2006 and February 2009, Vafiadis provided financial product ...

Fear and thanks

BENJAMIN ONG  |  TUESDAY, 23 NOV 2010
... could always blame it on the Fed - not the US Federal Reserve this time, but the fed as in FBI the Federal Bureau of Investigation. That's the one that the financial markets have not seen coming as their attention were diverted to Chireland. And it seemed ...

Investors lose $7m in Qld scam

ASIC RELEASE  |  THURSDAY, 18 NOV 2010
... without an Australian Financial Services licence under s911A of the Corporations Act. This charge followed an ASIC investigation, which found she encouraged approximately 80 people to invest their money with her US-based former fiance, Norman Bates Hatchett ...

No pension for corrupt Bell staff

RUTH LIEW  |  MONDAY, 15 NOV 2010
... benefits, reportable compensation and enrollment in the retirement and health systems for certain employees. The investigation found that the pay rates failed to qualify for a "compensation earnable for pension purposes". The city also failed to complete ...

ASIC bans adviser and charges former director

ELISE BURGESS  |  WEDNESDAY, 10 NOV 2010
... was also believed to have made false entries in order records required to be kept for orders on the ASX. The ASIC investigation into WTG continues. In related news, an ASIC investigation has resulted in former company director, Simon Finnigan, being ...

APRA puts spotlight on super

JOHN MCDULING  |  THURSDAY, 4 NOV 2010
... to 229. The appointment of acting trustees dropped significantly, from 38 cases in 2009 to 5 in 2010. Similarly, investigation actions fell sharply from 23 to 5, while the number of cases where APRA was forced to follow up on employers delaying contributions ...

Commonwealth Fin Plng compensates investors

ASIC RELEASE  |  WEDNESDAY, 3 NOV 2010
Commonwealth Financial Planning will implement a major client compensation program after an ASIC investigation. According to ASIC, a former CFP representative employed until July last year potentially breached various sections of the Corporations Act ...

Adviser sentenced to 8yrs imprisonment

ELISE BURGESS  |  FRIDAY, 29 OCT 2010
... A former financial adviser receives a jail sentence after pleading guilty to 13 fraud charges following an ASIC investigation. Neil Francis Dodd was sentenced to eight years imprisonment in Townsville's District Court after an ASIC investigation concluded ...

Infocus planner banned by ASIC

ASIC RELEASE  |  WEDNESDAY, 27 OCT 2010
... David Radovan, of Donnybrook, Western Australia, from providing financial services for five years after an ASIC investigation revealed concerns with the appropriateness of his advice to retail clients. The regulator found that Radovan, who, while acting ...