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Showing 321 - 330 of 342 results for "Investigations"

FPA begins Westpoint investigation

... (FPA) against possible members who advised clients on Westpoint investments, triggering the organisation to begin investigations. FPA chairman, Corinna Dieters, has vowed to make those members found in breach of the FPA's professional standards accountable ...

Thirty dealer groups up for $300m in Westpoint recovery

... proceedings in coming weeks, the Financial Planning Association (FPA) has announced that it is also conducting investigations into some of its members, following 10 complaints against members by their clients. An FPA spokesman says no mandatory ban has ...

ASIC comes down on financial services fraud

... As this case demonstrates, the consequences of such actions can be very serious, including imprisonment." ASIC's investigations uncovered that between July 2000 and March 2001 McKim attempted to pass himself off as a representative of a financial institution ...

Trail commissions in super should be investigated: Industry Funds

... Association (ACA) in their latest Money and Your Rights magazine, Weaven said he wants to see trail commissions investigations extended to superannuation. "We would like the Australian Consumer Association to go one - significant - step further and investigate ...

ASIC and APRA accept undertaking from AXA Australia staff plan

... members' benefits and an offer by the employer to buy out future pension entitlements. The undertaking was a result of investigations by ASIC and APRA into complaints made by some members including the regulators own concerns about the prudential and ...

Zurich gives ASIC and APRA enforceable undertaking

... provided with an accurate representation of the companies' historical and current financial position, while our investigations into various reinsurance arrangements, entered into in 2000, are continuing." APRA deputy chair Ross Jones says, "Deliberate ...

Auscoal suffers theft of $1.6 million

AAP  |  THURSDAY, 26 MAY 2005
... was set up and the cheques were honoured, he said. Mr Hickey said the account was traced and $640,000 frozen as investigations by ASIC and police continue. "We're talking approximately $1.6 million, close to 100 cheques, so in terms of the scale of the ...

Gaol term or former HIH managing director

... continuing its investigation into the collapse of HIH and Cassidy has and will continue to assist the regulator with its investigations.

ASIC begins investigation into James Hardie

AAP  |  WEDNESDAY, 22 SEP 2004
... Macdonald appeared to have broken the corporations law by engaging in misleading and deceptive conduct. "ASIC's investigations follow the agency's close monitoring of the special commission of inquiry and the release of the commission's report yesterday," ...

News Corp exit will not hurt ASX, says Humphry

AAP  |  MONDAY, 2 AUG 2004
... omitted to make statements and, in so doing, failed to keep the market adequately informed. \"We will carry out our investigations as to what information should have been made available to us,\" Humphry said.