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Showing 451 - 460 of 546 results for "Investigate"

Trio victims turn on planners

ALISON BEVEGE  |  FRIDAY, 15 APR 2011
Self-managed super fund trustees left without compensation from the Trio fraud debacle have turned on their former financial advisers. About 100 investors are suing defunct financial planning firm Tarrants Financial Consultants, reportedly on the grounds ...

Ex-Macq fund manager gets jail for insider trading

ALISON BEVEGE  |  FRIDAY, 1 APR 2011
... Authority of Singapore discovered the rogue trades and contacted ASIC in 2008 but the regulatory agency was unable to investigate until 2010 because de Silva was not in the country. When contacted yesterday by Financial Standard, Macquarie Group refused ...

Rogue trader banned for four years

ALISON BEVEGE  |  FRIDAY, 25 MAR 2011
A rogue forex trader has been banned for four years by Australia's corporate watchdog after fleecing the savings of six Gold Coast residents through a pooled fund. Andrew Mark Perkin must not provide any financial products or services under the enforceable ...

VTP mulls management change

ELISE BURGESS  |  MONDAY, 21 MAR 2011
... director, the company has had approaches from third parties about potential strategic transactions. "If we are to investigate them further, the board felt it was best to terminate the current management agreements seeing as they have so long to run ...

UBS wealth mgmt to review compliance

ELISE BURGESS  |  FRIDAY, 18 MAR 2011
ASIC has signed an enforceable undertaking (EU) from UBS Wealth Management Australia Ltd to review its compliance culture and frameworks and fix past compliance failures. The fund manager didn't provide statements of advice to 764 retail clients invested ...

Proposed reforms could hurt insurance levels: AFA

ALISON BEVEGE  |  TUESDAY, 22 FEB 2011
... consumer/adviser research. The research, which is sponsored by AIA and conducted by CoreData-brandmanagement, will investigate why people seek life insurance cover.

Adviser banned for life

ALISON BEVEGE  |  TUESDAY, 22 FEB 2011
A financial adviser has been banned for life after using a retired faming couple's savings to fund a margin loan, ASIC said yesterday. Trevor Wayne Carll of Port Pirie, South Australia, worked for local planning business Bruce McDonald Investment Services ...

Shorten to tighten tax agent rules for planners

MEDIA RELEASE  |  MONDAY, 29 NOV 2010
... Practitioners Board, but the regulation will be done in a way that minimises any additional compliance burden. Option two is investigate and implement what changes, if any, might be made to the Australian Financial Services Licensing regime or its enforcement ...

No pension for corrupt Bell staff

RUTH LIEW  |  MONDAY, 15 NOV 2010
... California called Bell. The city's top officials were also subpoenaed. "We have joined the Attorney General's office to investigate all the facts and circumstances surrounding payment of salaries and other compensation to officials at the City of Bell," ...

Adviser sentenced to 8yrs imprisonment

ELISE BURGESS  |  FRIDAY, 29 OCT 2010
A former financial adviser receives a jail sentence after pleading guilty to 13 fraud charges following an ASIC investigation. Neil Francis Dodd was sentenced to eight years imprisonment in Townsville's District Court after an ASIC investigation concluded ...