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Showing 1551 - 1560 of 1614 results for "Investigation"

Four sentenced in Wattle investigation

... Australasian Management Consultants Pty Ltd (AMC) were today sentenced in the Brisbane District Court, following an investigation by the Australian Securities and Investments Commission (ASIC) into the failed Wattle Group investment scheme. Robert Cooper ...

Rans former finance manager charged

A former finance manager has been charged following an investigation by the Australian Securities & Investments Commission (ASIC) into the collapse of Rans Management Group Pty Ltd. David Easden, of Victoria, faces a total of five charges under the ...

ASIC bars former securities dealer from practicing financial services

... has been permanently banned from acting as a securities dealer or investment adviser representative, following an investigation by the Australian Securities and Investments Commission (ASIC). During its investigation, ASIC found that Mr Donohue had engaged ...

Wattle Group saga claims yet another former adviser

... behaviour bond, was immediately released on for a period of two years. ASIC laid charges against Mr Snook following an investigation into his activities in promoting investments directly into the failed Queensland investment scheme known as the Wattle ...

Advisors in Australia must hold license: ASIC

A Supreme Court order today requires those operating financial services business from Australia must hold an Australian Financial Services (AFS) License, even if their services are provided to clients outside of Australia. The order comes after an ASIC ...

Tasmanian adviser faces 110 ASIC charges

... Superannuation Industry (Supervision) Act, the Corporations Act and the Tasmanian Criminal Code, following a joint investigation by ASIC and the Tasmania Police Fraud Investigation Services. Mr Mitchell did not enter a plea and was bailed to appear again ...

ASIC deals out permanent ban to Brisbane financial planner

... Brisbane financial planner - from acting as a representative of a dealer or investment adviser. ASIC commenced an investigation of Mr Baigent following a complaint from his former employer, Partnership Planning (part of the ING Group). Mr Baigent was ...

Former AMP agent pleads guilty to ASIC charge

... (ASIC). Mr Moses operated a superannuation intermediary business through his company Baxters Holdings Pty Ltd. An ASIC investigation found that between 1993 and 1998, Mr Moses accepted approximately $318,000 in compulsory employer superannuation contributions ...

Wattle net widens as four directors plead guilty

... Browne, both employees of the company, pleaded guilty to three and two counts, respectively. The charges followed an investigation by the Australian Securities and Investments Commission (ASIC) into the failed Wattle Group investment scheme, which raised ...

Wattle administrators sentenced

... $5000 recognisance to be of good behaviour for two years. The charges against Messrs Mackay and Allen followed an investigation by the Australian Securities and Investments Commission (ASIC) into the failed Wattle Group, and relate to nine investors ...