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Showing 1341 - 1350 of 1614 results for "Investigation"

Court convicts unlicensed Westpoint planner

PRESS RELEASE  |  MONDAY, 20 APR 2009
... December 2003 which led to clients investing in Westpoint products. Rowntree's actions came to light during ASIC's investigation of Westpoint related companies. He pleaded guilty to the charge of providing financial advice with an Australian financial ...

Charged for no AFSL

ASIC RELEASE  |  TUESDAY, 14 APR 2009
... Street Mezzanine Pty Ltd and Bayshore Mezzanine Pty Ltd. These matters came to ASIC's attention through its broader investigation into the collapse of the Westpoint Group of Companies and via complaints received from the public. The matters of Messrs ...

Storm enters liquidation

MEDIA RELEASES  |  FRIDAY, 27 MAR 2009
... commenced and therefore it would be premature and inappropriate for us to comment on the possible outcomes of our investigation at this time," he said. The Australian Securities and Investments Commission (ASIC) welcomed the court's decision. The regulator ...

Forensic tool for private equity

COMPANY RELEASE  |  TUESDAY, 24 MAR 2009
... offering. The company has launched CFO Tools, an analytics program that offers forensic portfolio analytics and investigation capabilities for J.P. Morgan's Australian and New Zealand clients. The tool will help funds investing in private equity to get ...

ASIC bans Macquarie rumourmonger

MEDIA RELEASE  |  TUESDAY, 24 MAR 2009
... with the Corporations Act when he spread rumours about the Macquarie Cash Management Trust and Macquarie Group. The investigation found Macphillamy, while working at Linwar Securities, sent emails to 32 traders around the world about a run on the Macquarie ...

Storm subsidiary in liquidation

MEDIA RELEASE  |  FRIDAY, 20 MAR 2009
Geelong-based Victorian Families Retirement Investment Group has been placed in "provisional liquidation" after its parent company Storm Financial called in the receivers. The group was placed into provisional liquidation by the Federal Court in Brisbane ...

Ex-director banned for 25 years

MEDIA RELEASE  |  MONDAY, 16 MAR 2009
... Group), was banned by the Supreme Court of New South Wales from managing corporations for 25 years. Following an investigation and proceedings commenced by the Australian Securities and Investments Commission (ASIC) the Court previously found that Goulding ...

ASIC cracks down on Hafoka

MEDIA RELEASE  |  WEDNESDAY, 11 MAR 2009
... into the KSF. In return, Hafoka received commissions in excess of $300,000. The charge against Hafoka follows an investigation conducted by ASIC with the assistance of the Australian Taxation Office. Hafoka has been committed to appear at the District ...

Three firms wound up by ASIC

COMPANY RELEASE  |  MONDAY, 9 MAR 2009
... Online Super Pty Ltd (Online Super) following an application by ASIC. ASIC brought its application following an investigation which raised concerns that Mt Whitsunday Pty Ltd, Maxpower Mortgage Services Pty Ltd and Maxwell Phillip Enterprises Pty Ltd ...

Tassie adviser banned

MICHAEL HOBBS  |  THURSDAY, 26 FEB 2009
... Tasmanian-based financial adviser from providing financial services for 18 months after lying to the regulator during an investigation. Financial adviser, Brendan Moore of New Town was convicted in Hobart Magistrates Court for making false statements ...