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Showing 401 - 410 of 792 results for "fraud"

Robo-advice to impact not replace: CFA

KERRIE SYDEE  |  THURSDAY, 28 APR 2016
... robo-advisers. The survey highlighted that respondents were divided about the impact of financial advice tools on market fraud/mis-selling and the quality of advice, with a close to even split between respondents who believe that the growing presence ...

ASIC user-pay model "eminently sensible": SEC veteran

ALEX BURKE  |  WEDNESDAY, 20 APR 2016
... administration you have," he said. "In my view, law enforcement should not be influenced by politics. Insider trading and accounting fraud should not be a partisan issue. "The US conservatives, obviously, want less regulation and progressives want more ...

APRA releases report on Trio investigation

KERRIE SYDEE  |  MONDAY, 11 APR 2016
... adequately manage conflicts of interest from dealings with related parties; and failure to have adequate controls to mitigate fraud-related investment risk Following the Trio matter APRA argues that the introduction of prudential standards in superannuation ...

Tax incentives for early stage investors too narrow: KPMG

DARREN SNYDER  |  FRIDAY, 4 MAR 2016
... regulatory framework and safeguards developed around that to protect investors from financial and other risks, including fraud, could be extended and applied to the new tax incentive. But we acknowledge that this is a difficult issue, which requires ...

ASIC hits ex-ANZ adviser with ban

ALEX BURKE  |  THURSDAY, 14 JAN 2016
ASIC has banned a former ANZ bank adviser for 10 years. According to ASIC's investigation, Ben Cheung engaged in misconduct between April 2013 and March 2014, during which he was an authorised ANZ representative. ASIC alleged that Cheung forged client ...

ASIC spots PI insurance gaps

ALEX BURKE  |  TUESDAY, 15 DEC 2015
... report said. The regulator cited some insurance policies as lacking "at least one automatic reinstatement" and the necessary fraud and dishonesty cover. Problems with aggregating claims with a single limit of indemnity were also found, both due to potential ...

Senate to investigate white-collar crime

LAURA MILLAN  |  THURSDAY, 26 NOV 2015
... reference: "The United States, for instance, has double the potential jail-term available as compared to Australia in cases of fraud, insider trading and market manipulation," Whish-Wilson said. "It's not just at the top end of white-collar crime penalties ...

ASIC grilled on whistleblower compensation

LAURA MILLAN  |  MONDAY, 9 NOV 2015
Financial compensation for corporate whistleblowers is back on the agenda after the Senate Economics Committee grilled representatives from the Australian Securities and Investments Commission (ASIC). At the latest Senate Economics Committee hearing ...

Aussies in top five for cashless transactions

DARREN SNYDER  |  WEDNESDAY, 7 OCT 2015
... concerns about the lack of consumer protection on data privacy, information security, dispute resolution as well as fighting fraud and money laundering and regulation is needed to minimise these risks." Director of payments at Royal Bank of Scotland ...

Club Plus Super appoints three senior execs

MARK SMITH  |  TUESDAY, 22 SEP 2015
... at the Australian Prudential Regulatory Authority (APRA) and also as a specialist in commercial litigation and insurance fraud. In her new role Hunt is primarily responsible for maintaining and implementing an effective risk management framework. "Nici ...