Search Results | Showing 241 - 250 of 342 results for "Investigations" |
| | | ... notifying industry regulators, ongoing review of compliance measures and controls, employee education and independent investigations. "These initiatives, where necessary, led to enhancement of processes and procedures and sought to improve the client ... |
| | | | ... notifying industry regulators, ongoing review of compliance measures and controls, employee education and independent investigations," the statement said. "Most of the claims appear to have been promoted by a former employee who is in a legal dispute ... |
| | | | ... system broadly, and in superannuation in particular, leading to a withdrawal of investors from the sector." Recent investigations and intelligence suggest superannuation fraud is occurring through four key areas - the use of financial planners who are ... |
| | | | ... headed "It's time to review your financial plan," with no reference to any issues with the advice provided or any investigations relating to the adviser. The forensics firm also confirmed that no clients were given the offer of $5,000 to review their ... |
| | | | ... any changes to our view with you as quickly as possible," Morningstar senior analyst Kathryn Young said. "These investigations, though rather common, have never before been public information," Young said, and added that "given the frequency of FMA investigations ... |
| | | | ... advisers is one of many important initiatives in place. "The good thing is that consumers will be able to make initial investigations on whether the adviser they are considering or already using has the right qualifications and no black marks against ... |
| | | | ... withdrew or amended 127 instances of potentially misleading or deceptive promotional material. It undertook of 125 investigations and 54 criminal and civil litigation and administrative actions, including 17 criminal proceedings with six imprisonments ... |
| | | | ... that the conclusions of the report will have on the industry, Kell said that the regulator "will follow up with investigations with particular advisers and firms that were part of the surveillance." ASIC officials also updated the Senate Economics Committee ... |
| | | | ... can be improved." ASIC has issued a number recommendations to advisers and insurers, and is conducting follow-up investigations in certain cases of non-compliance. |
| | | | ... to the most suitable adviser within the Claims Aid network. Both simple and more extensive assistance including investigations, gathering required documents and discussions with the insurer on behalf of the claimant will be offered. Kaleta invited advisers ... |
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