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Showing 411 - 420 of 1643 results for "Investigation"

ASIC takes Federal Court action against Macquarie Bank

ANDREW MCKEAN  |  TUESDAY, 5 APR 2022
... transactions using its bulk transaction system. In a statement, Macquarie Group detailed that it had cooperated with ASIC's investigation into the cash management account thirty party fee authority and fully reimbursed the 13 affected clients. The company ...

Border rule-breaking former adviser banned

JAMIE WILLIAMSON  |  TUESDAY, 5 APR 2022
... his conviction, the FBAA commented: "We are aware of the media reports around Mark Babbage and are undertaking an investigation. The FBAA upholds a high standard for membership, and the integrity of our members is non-negotiable." Babbage has the right ...

GAM loses insto mandate

JAMIE WILLIAMSON  |  THURSDAY, 31 MAR 2022
... the loss of a substantial institutional mandate and, in a separate matter, seen the details of a 2018 misconduct investigation aired by the UK regulator. Overnight GAM International announced an unnamed institutional client is withdrawing $16.6 billion ...

Budget aims to please women

ELIZABETH MCARTHUR  |  TUESDAY, 29 MAR 2022
... spent over four years to list a new pelvic magnetic resonance imaging item on the Medicare Benefits Schedule for the investigation of infertility. Additionally, $16 million over four years will be spent to establish endometriosis and pelvic pain general ...

Dealer group faces anti-hawking charges

JAMIE WILLIAMSON  |  TUESDAY, 22 MAR 2022
... being prosecuted by the Commonwealth Director of Public Prosecutions after a brief of evidence collected during an investigation was handed over by ASIC. The matter has been listed for a mention hearing in May.

Permanent ban for former authorised representative

CHLOE WALKER  |  FRIDAY, 18 MAR 2022
... 2020 and reimbursed his clients for their losses before subsequently being compensated by Halligan. Through its investigation, ASIC also found that Halligan engaged in conduct designed to cause his clients to believe that they still had the shares he ...

CDPP dumps ANZ cartel case

KARREN VERGARA  |  MONDAY, 14 FEB 2022
... institutional share placement in August 2015 worth $2.5 billion. The Australian Competition and Consumer Commission led the investigation and later referred it to the CDPP. ACCC chair Rod Sims said: "We respect the independent decision of the CDPP, and ...

ASX chief steps down

KARREN VERGARA  |  FRIDAY, 11 FEB 2022
... global pandemic. It also suffered major technical glitches during the ordinary course of trading, leading to an ASIC investigation and the imposition of licence conditions. "ASX continues to invest in contemporary technology to strengthen the quality ...

PE Capital in liquidation

KARREN VERGARA  |  THURSDAY, 10 FEB 2022
... Funds Management will also serve to condemn the past breaches of the Act by PE Capital Funds Management." ASIC's investigation included interviewing Jason Huang (director of PE Capital Asia) and Greg Roberts (director of compliance). Martyn Barnes ...

Former Spaceship chief executive banned

JAMIE WILLIAMSON  |  FRIDAY, 21 JAN 2022
... from providing financial services after ASIC found he had an employee complete AICD assessments on his behalf. The investigation found Paul Kevin Bennetts, who led both Spaceship's managed investments business and super fund for two years, dishonestly ...