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Showing 201 - 210 of 342 results for "Investigations"

Financial Standard's top stories of 2017

ALEX BURKE  |  FRIDAY, 22 DEC 2017
... of this year. The biggest stories of 2017 spanned new super funds, major strategic partnerships, landmark ASIC investigations, long-serving industry executives passing the baton and sweeping reforms. The top 10 stories were: 1.GROW Super opens for business ...

Queensland adviser enters ASIC enforceable undertaking

JAMIE WILLIAMSON  |  WEDNESDAY, 15 NOV 2017
... superannuation funds without adequately demonstrating why this was suitable; and failing to conduct reasonable investigations into clients' objectives for insurance requirements and products. He was also found to have failed to sufficiently look into ...

Forgery sees former NAB adviser sentenced

JAMIE WILLIAMSON  |  FRIDAY, 27 OCT 2017
... will always hold them to account," Miller said. NAB reported Thompson to the regulator and fully supported its investigations, cooperating with the Commonwealth Director of Public Prosecutions.

BEAR closer to legislation

KARREN VERGARA  |  FRIDAY, 20 OCT 2017
... senior executives and directors. And APRA will have new powers to examine witnesses, including during potential investigations of breaches of the BEAR," he said. Morrison added the Government is aiming to loosen the prohibitions around the use of the ...

Proceedings filed against CBA in Federal Court

ALEX BURKE  |  MONDAY, 9 OCT 2017
... hundreds of institutional investors." Maurice Blackburn national head of class actions Andrew Watson added: "Our investigations and analysis show that this drop was in the top one per cent of price movements that CBA experienced in the past five years ...

Hiking life premiums is short-term thinking: ANZ Wealth

KARREN VERGARA  |  THURSDAY, 21 SEP 2017
... particularly through morbidity policies." The paper also pointed out that despite the recurring media and regulatory investigations that iterate life insurance products are often complex and poorly understood by consumers, an ASIC investigation last ...

BEAR regime must extend entire industry: Medcraft

JAMIE WILLIAMSON  |  WEDNESDAY, 13 SEP 2017
... we can do it the easy way or the hard way - we're happy to do both," Medcraft said. Despite the various, ongoing investigations within Australia's banks - most notably ASIC and AUSTRAC's current inquiries into the Commonwealth Bank - Medcraft acknowledged ...

ASIC flags stronger adviser surveillance

KARREN VERGARA  |  WEDNESDAY, 23 AUG 2017
... second half of 2016. During the period, ASIC removed 23 individuals from working in financial service; commenced 57 investigations and completed 80; issued 11 infringement notices and laid 32 criminal charges, according to its biyearly enforcement outcomes ...

ASIC advances towards telecommunication intercept powers

EMMA RAPAPORT  |  FRIDAY, 21 JUL 2017
... serious offences; Allow ASIC and other agencies, in particular the AFP, to conduct effective cooperative or parallel investigations; and Avoid the circumstance in which an interception agency is in possession of evidence of serious corporate offences ...

Sydney RE to pay for false ads

JAMIE WILLIAMSON  |  MONDAY, 17 JUL 2017
... regulator in October 2015 in regards to the statements and advertisements. Following this, ASIC conducted further investigations and subsequently issued civil penalty proceedings in September 2016.