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Showing 1331 - 1340 of 1614 results for "Investigation"

ASIC approves Opes Prime settlement

ASIC RELEASE  |  WEDNESDAY, 5 AUG 2009
... announced in March 2009 that it has put in place an Enforceable Undertaking (EU) from the ANZ in relation to ASIC's investigation, arising from the Opes Prime collapse, into ANZ Custodial Services, a division of the ANZ Group. ASIC's investigations arising ...

Eslake joins think-tank

COMPANY RELEASE  |  FRIDAY, 31 JUL 2009
... appointment is the first in a number to be announced in the next few months. "Saul will lead Gratton Institute's investigation of the key drivers of national productivity growth, most recently highlighted on Tuesday by the governor of the Reserve Bank ...

Hong Kong cracks down on Lehman Bros

RUTH LIEW  |  WEDNESDAY, 15 JUL 2009
... close to 1,000 cases under disciplinary consideration by the regulator. These cases have already undergone detailed investigation by the HKMA. "A number of cases are at a very advanced stage of the enforcement process. Before making a final determination ...

Perth stockbroker gets ban for life

ASIC RELEASE  |  MONDAY, 13 JUL 2009
... Western Australia from providing financial services after cheating his clients of $9 million. This follows an ASIC investigation into Kur's conduct as an authorised representative of Perth-based stockbrokers Hogan and Partners Stockbrokers Pty Ltd (Hogan's). ...

ASIC bans Firepower adviser

ASIC RELEASE  |  FRIDAY, 10 JUL 2009
ASIC has banned another adviser Quentin Ward from providing financial services for eight years after an investigation into his involvement in Firepower investments. ASIC banned Ward after an investigation into his dealings in the sale of Firepower Holdings ...

Broker gets permanent ban from ASIC

COMPANY RELEASE  |  THURSDAY, 25 JUN 2009
... services after conducting business without an AFSL and pocketing $43,500 of his client's funds. This follows an ASIC investigation into Clough's dealings when he operated an insurance consultancy business which traded as Muir Sturrock Pty Ltd and Muir ...

CBA on Storm damage control

COMPANY RELEASE  |  THURSDAY, 18 JUN 2009
... the bank's statement and commended Norris' "courage". He said the Norris' comments would assist Slater & Gordon's investigation into Storm Financial on behalf of its clients and highlight the "margin loan side of the equation".

Broker swindled investor funds

RUTH LIEW  |  THURSDAY, 4 JUN 2009
... mortgage broker and director for Asset Finance Service, was found guilty yesterday on one count of fraud following an investigation by the Australian Securities & Investments Commission. According to ASIC, Asset Finance Service was a mortgage broking ...

Bonnie and Clyde team caught for fraud

RUTH LIEW  |  THURSDAY, 28 MAY 2009
... guilty to 12 charges including theft and conducting business without a financial services licence following an ASIC investigation. Shaun White of Montmorency, Victoria, has pleaded guilty in Melbourne's County Court to nine counts of theft, two counts ...

FX trader guilty of $360k fraud

ASIC RELEASE  |  TUESDAY, 12 MAY 2009
... dishonestly gaining a financial advantage for Arafura Equities Pty Ltd (Arafura) worth $330,000. His plea follows ASIC's investigation into the scheme which was operated by Arafura from 2003 and involved the trading of funds on the foreign currency exchange ...