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Showing 121 - 130 of 145 results for "Dishonest conduct"

Former AMP adviser gets permanent ban

ASIC RELEASE | MONDAY, 20 SEP 2010

... January 2007 and 4 August 2009, Aloisi failed to comply with financial services laws. This includes engaging in dishonest conduct by submitting, or causing to be submitted, to AMP Life approximately 55 applications for life insurance and/or income protection ...

Insurance broker gets permanent ban

ASIC RELEASE | WEDNESDAY, 16 JUN 2010

... insurance financial products. ASIC found that between 18 December 2006 and 31 December 2008, Ker had engaged in dishonest conduct by repeatedly representing to clients that they had insurances policies in place when insurance policies did not exist ...

Chartwell director charged with $22m fraud

ASIC RELEASE | THURSDAY, 11 MAR 2010

... collectively relate to obtaining advantage of approximately $22 million from investors. Hoy faced 41 counts of dishonest conduct and one count of dishonest use of position in the company. In response, Hoy has entered a plea of not guilty to all 224 charges. ...

SMSFs targeted in $428k swindle

ASIC RELEASE | FRIDAY, 21 AUG 2009

A man has been jailed and his wife charged with aiding and abetting dishonest conduct for stealing nearly half a million dollars from self-managed super fund (SMSF) trustees. The Australian Securities and Investments Commission (ASIC) investigation ...

ASIC cracks down on early release of super

ASIC RELEASE | THURSDAY, 20 AUG 2009

... funds. ASIC has commenced criminal proceedings in the Sydney Central Criminal Court against Faleono and Sini for dishonest conduct in operating a financial services business. Sini has been charged in relation to an illegal early release of a superannuation ...

Chartwell execs face criminal charges

ASIC RELEASE | WEDNESDAY, 12 AUG 2009

... of carrying on a financial services business without a financial services license, 10 counts of engaging in dishonest conduct in relation to financial services and four counts of using false documents. He was also charged with two counts of obtaining ...

Perth stockbroker gets ban for life

ASIC RELEASE | MONDAY, 13 JUL 2009

... publishing a statement he knew was false. He also acted contrary to his clients' instructions and engaged in dishonest conduct in the provision of financial services. As a result of Kur's actions, Hogan's' clients lost more than $9 million. Kur resigned ...

Broker gets permanent ban from ASIC

COMPANY RELEASE | THURSDAY, 25 JUN 2009

... business which traded as Muir Sturrock Pty Ltd and Muir Sturrock Consulting. ASIC found that Clough engaged in dishonest conduct between August 2000 and July 2005 when he received a total of $43,500 from a client to for the purpose of obtaining income ...

Insurance broker caught for fraud

ASIC RELEASE | MONDAY, 1 JUN 2009

... amounts and details of Carriers and Couriers insurance he had written. Ryan also pleaded guilty to engaging in dishonest conduct in relation to a financial product when he misrepresented the true and correct premiums required to obtain Carriers and Couriers ...

Bonnie and Clyde team caught for fraud

RUTH LIEW | THURSDAY, 28 MAY 2009

... Montmorency, Victoria, has pleaded guilty in Melbourne's County Court to nine counts of theft, two counts of dishonest conduct in relation to a financial product, and one count of conducting a financial services business without a licence following an ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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