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Showing 351 - 360 of 1605 results for "Investigation"

Victorian AR charged with providing unlicensed advice

CASSANDRA BALDINI  |  WEDNESDAY, 13 JUL 2022
... $126,000, or both. This matter is being prosecuted by the Commonwealth Director of Public Prosecutions after an investigation and referral by ASIC. It will be next listed for mention on October 4 in the Magistrate's Court of Victoria.

UK regulator appoints Camille Blackburn to leadership team

CASSANDRA BALDINI  |  WEDNESDAY, 6 JUL 2022
The Financial Conduct Authority (FCA) is bolstering its leadership team with six new appointments, including former ASIC and Westpac senior executive Camille Blackburn as director of wholesale buy-side. Blackburn will join the FCA in October from Legal ...

ASIC bans Melbourne adviser

CHLOE WALKER  |  FRIDAY, 1 JUL 2022
... match his clients' risk profiles or experience, and Ruthenberg was found to have failed to conduct a reasonable investigation into alternative financial products that could have met the clients' needs. The consulting practice, owned and operated by Ruthenberg ...

Former adviser charged over faked books

CHLOE WALKER  |  TUESDAY, 28 JUN 2022
... financial adviser has been charged with seven counts of alleged falsification of company books following an ASIC investigation. ASIC alleged that between February 2010 and December 2018, Tai Thanh Nguyen of Interprac Financial Planning falsified company ...

ASIC obtains orders to freeze assets

ANDREW MCKEAN  |  TUESDAY, 28 JUN 2022
... without a license. At the time ASIC said it sought the freezing orders to help protect investor funds while its investigation continued. Likewise, the Federal Court has recently made orders against A One Multi arising from unlicensed conduct and the ...

Corporate advisor charged over $2m theft

CASSANDRA BALDINI  |  WEDNESDAY, 22 JUN 2022
... Magistrate Court and was charged with eight counts of fraud and five counts of stealing pursuant following an ASIC investigation. The corporate watchdog alleged that between March 2010 and January 2015, Torre stole approximately $1.882 million from his ...

Colonial reveals Australia's huge untapped workforce

ANDREW MCKEAN  |  THURSDAY, 16 JUN 2022
... workforce of older Australians who would delay retirement for up to 10 years if they were able to switch careers. Upon investigation, Colonial found a strong desire for personal fulfillment in both work and retirement. Accordingly, for more than one ...

ASIC freezes assets of unlicensed property mogul

CASSANDRA BALDINI  |  WEDNESDAY, 8 JUN 2022
... to Europe between June and July. ASIC said it sought the freezing orders to help protect investor funds while its investigation continues. Hopkins is the sole shareholder, director and company secretary of the two companies in question. He has been the ...

Spaceship chair banned for two years

JAMIE WILLIAMSON  |  TUESDAY, 7 JUN 2022
... performing functions as an officer and responsible manager of a financial services business for two years after an investigation found he didn't understand all the services offered by Spaceship Capital and is not competent to hold either position. ...

ASIC succeeds in application to liquidate Ascent

CASSANDRA BALDINI  |  MONDAY, 6 JUN 2022
... the solvency, likely return to creditors and an opinion on whether Ascent has kept adequate financial records. The investigation continues and the matter will return to court in June.