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Showing 1281 - 1290 of 1614 results for "Investigation"

ASX companies fall short on corruption disclosure

MICHAEL HOBBS  |  WEDNESDAY, 28 APR 2010
Australian listed companies are not properly addressing potential corruption and bribery issues of their employees, a study revealed, amid one of Australia's biggest mining company's being forced to defend itself against corruption allegations. CAER ...

FSA starts Goldman Sachs investigation

RUTH LIEW  |  THURSDAY, 22 APR 2010
The UK's Financial Services Authority is launching its own investigation into Goldman Sachs' alleged fraud activities, following charges to the firm by the Securities and Exchange Commission in the US. The FSA said in a short statement yesterday that ...

ASIC bans client adviser for life

ASIC RELEASE  |  THURSDAY, 22 APR 2010
... without permission between January 2008 and October 2008. The Australian Securities & Investments Commission (ASIC) investigation found Ho broke section 1041G(1) of the Corporations Act. He also breached the Act when he made several entries to mislead ...

NAB clashes with ACCC decision

COMPANY RELEASE  |  WEDNESDAY, 21 APR 2010
... investment platforms," said ACCC chairman Graeme Samuel in a statement. For example, following a four-month-plus industry investigation, the ACCC found that a merger between NAB and AXA would substantially cut competition in the market for retail investment ...

America's Eyjafjallajokull

BENJAMIN ONG  |  WEDNESDAY, 21 APR 2010
... bank. According to Bloomberg, the UK's Financial Services Authority " announced today that it will launch a formal investigation into Goldman Sachs' (GS) London units in connection to the SEC's recent allegations." And that, "German and French securities ...

ACCC blocks NAB bid for AXA, backs AMP

MEDIA RELEASES  |  TUESDAY, 20 APR 2010
... platforms," said ACCC chairman Graeme Samuel in a statement.| For example, following a four-month-plus industry investigation, the ACCC found that a merger between NAB and AXA would substantially cut competition in the market for retail investment platforms ...

Astarra pain spreads to super funds

MICHELLE BALTAZAR  |  MONDAY, 19 APR 2010
... legacy option it absorbed when it bought NSW TAB. Still, Astarra funds are currently frozen due to an ongoing fraud investigation, which effectively means the affected fund members won't have access to their previous super savings (in the minute chance ...

Regulator launches Storm website

ASIC RELEASE  |  THURSDAY, 15 APR 2010
The regulator has launched a website for Storm Financial investors to keep them informed about its investigations. The website has a public area that includes general information about the Australian Securities and Investments Commission's (ASIC) investigations ...

Bill backed for calling placement agents lobbyists

COMPANY RELEASE  |  THURSDAY, 8 APR 2010
A US retirement assembly has backed a bill treating placement agents as "lobbyists", in a bid to help protect the integrity of the nation's two largest public pension funds. Assembly member Ed Hernandez, who helped author the bill, said the vote meant ...

Orion tightens compliance after rogue trader caught

RUTH LIEW  |  WEDNESDAY, 7 APR 2010
... reported the matter to ASIC. "We investigated the matter internally and of course ASIC conducted their independent investigation," he said. Fallins said none of Orion's clients were affected by Hartman's trades which he did through contracts for difference ...