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Showing 301 - 310 of 558 results for "Investigate"

UK asset consultants face competition scrutiny

KARREN VERGARA  |  MONDAY, 18 SEP 2017
... practices of investment consultants have been referred to a consumer protection and anti-competition watchdog to further investigate the industry. The FCA announced it made a final decision to formally refer its concerns to the Competition and Markets ...

APRA names heavyweight panel to investigate CBA

EMMA RAPAPORT  |  FRIDAY, 8 SEP 2017
The Australian Prudential Regulation Authority appointed three highly experienced panel members to conduct an inquiry into the governance, culture and accountability frameworks of the Commonwealth Bank. Chairman of the Banking and Finance Oath, John ...

Passive versus active is crippling: QIC

EMMA RAPAPORT  |  WEDNESDAY, 16 AUG 2017
... that active approaches offer the opportunity to outperform across key fixed income sub-classes." The study goes on to investigate: Changing market conditions and implications for investment strategies Active investing fundamentally being about quality ...

ASIC advances towards telecommunication intercept powers

EMMA RAPAPORT  |  FRIDAY, 21 JUL 2017
... other agency's) investigation. "It is important that ASIC is able to gain access to information it needs to properly investigate and prosecute serious crimes in the corporate, financial services and credit sectors," Minister for Revenue and Financial ...

Police charge man with super fraud

KARREN VERGARA  |  WEDNESDAY, 12 JUL 2017
A Sydney man allegedly involved in a $1.8 million fraudulent superannuation scheme will face court today. NSW police charged the 47-year-old man with 20 counts of deception and dishonestly taking financial advantage; seven counts of using false documents ...

ASIC calls on NAB to improve disclosure

JAMIE WILLIAMSON  |  FRIDAY, 7 JUL 2017
An investigation by ASIC has forced NAB Group advice licensees to make corrective disclosures to customers. The corporate regulator found that NAB's dealer groups failed to disclose relationships between advisers, licensees, and other members of the ...

SMSF auditor busted self-auditing

JAMIE WILLIAMSON  |  THURSDAY, 29 JUN 2017
A Victoria-based self-managed superannuation fund auditor was disqualified for auditing his own fund. ASIC investigated Neil Wilson following information supplied by the Australian Taxation Office and determined that he had breached fundamental independence ...

Man posing as financial adviser charged

EMMA RAPAPORT  |  WEDNESDAY, 28 JUN 2017
... been valued at approximately $750,000. The arrest follows the establishment of Strike Force Penwell late last year to investigate the activities of the finance and investment company which had been de-registered. Investigations are ongoing and detectives ...

NAB adviser puts beneficiaries at risk

JAMIE WILLIAMSON  |  MONDAY, 29 MAY 2017
... clearly wrong, and we are taking this matter very seriously. As NAB has always said, where we find issues, we will investigate them, we will fix them, and we will improve our systems and processes to prevent them from reoccurring," Steele said. "We are ...

Midwinter unveils new financial tool

JAMIE WILLIAMSON  |  FRIDAY, 26 MAY 2017
... based on postcode. Users can also access information around investment choices and retirement income, enabling them to investigate potential 'transition to retirement' options. The tools can be customised to align with the style guide of the website ...