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Showing 331 - 340 of 342 results for "Investigations"

New NAB boss has own suspicions about rogue trading scandal

New National Australia Bank Ltd boss John Stewart today said investigations into the bank's foreign exchange trading scandal would likely find "people who were asleep on watch". While Mr Stewart said the truth about the rogue trading scandal would not ...

ASIC confirms meeting with Swiss over Rivkin, Kennedy

AAP  |  MONDAY, 2 FEB 2004
The Australian government has formally requested help from Swiss authorities over its investigations into Rene Rivkin and Trevor Kennedy. The two countries had discussed the businessmen since allegations against them were aired last year but last week ...

NAB board monitoring rogue trade probes

AAP  |  THURSDAY, 22 JAN 2004
NAB chairman Charles Allen said the Board is closely monitoring the internal and external investigations into the rogue trading that has cost it $185 million so far. In a letter to shareholders, Mr Allen cautioned them about acting on media speculation ...

Two disqualified directors sentenced following ASIC probe

Separate investigations by the Australian Securities and Investments Commission (ASIC) have led to the sentencing of two NSW company directors, charged with managing a corporation whilst disqualified. David Christopher Novak, also known as David Jovcevski ...

Victorian securities dealer banned:ASIC

... in breach of the Smith-Barney compliance guidelines. Smith-Barney reported its findings to ASIC, and subsequent investigations by ASIC found evidence to substantiate these findings. ASIC also found evidence indicating that Mr Kwong had opened a client ...

Advisors in Australia must hold license: ASIC

... (AFS) License, even if their services are provided to clients outside of Australia. The order comes after an ASIC investigations found that between January and June this year North Sydney company Morgan Price had telephoned residents in New Zealand and ...

Two Wattle administrators given suspended sentence

... investors. Anscor did not hold a licence as a securities dealer or investment adviser, ASIC said. Since the Wattle investigations began, more than 10 people have either been charged or sentenced because of their involvement, including Geoffrey Dexter ...

NAB Wealth Management companies to pay $67 million in investor compensation

... cooperated to ensure that investors would be fully compensated and informed about the issues. "The agreements conclude investigations by the Companies and ASIC and an inquiry by APRA," said NAB's National Wealth Management's executive general manager ...

OECD enhances international consumer protection activities

... investigators and prosecutors can achieve closer, faster and more efficient cooperation." "In some jurisdictions, investigations could progress where they previously might have ground to a halt," he added.

ASIC appoints liquidator to Queensland property company

... assets of Kennedy that ASIC suspects may have been purchased with investors' funds. ASIC is continuing with the investigations.