Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 451 - 460 of 1643 results for "Investigation"

Breach reporting guidance released

KARREN VERGARA  |  WEDNESDAY, 8 SEP 2021
... Advisers must investigate the situation within 30 days and notify clients of the outcome no later than 10 days of the investigation's conclusion. "We expect that your investigation will be thorough, complete and robust, and that you will make whatever ...

State Street bolsters cybersecurity, recruits 400

KARREN VERGARA  |  MONDAY, 6 SEP 2021
State Street is adding 400 new roles to bolster its technology and cybersecurity support for its global operations. The roles will be based in Kilkenny, Ireland where it currently employs some 2000 staff across Dublin, Drogheda and Naas. The new unit ...

ASX outage result of process failures, disagreement

KARREN VERGARA  |  MONDAY, 23 AUG 2021
... major trading glitch last November, the Australian Securities Exchange has come out relatively unscathed. The joint investigation by ASIC, the Reserve Bank of Australia and IBM into the implementation of the Nasdaq equity market trading system that went ...

CBA to publicise misconduct

ANNABELLE DICKSON  |  TUESDAY, 17 AUG 2021
... failing to have the systems in place to prevent overcharging," ASIC commissioner Sean Hughes said. Following an investigation by ASIC, CBA admitted to false or misleading representations and engaged in misleading and deceptive conduct over to 12,119 ...

ASIC takes property development group to court

KARREN VERGARA  |  FRIDAY, 13 AUG 2021
... business premises on 17 December 2020. Freezing orders have also been slapped on the companies' assets. As the investigation continues, the regulator ultimately wants to shut down the companies by appointing liquidators and issue disqualification ...

Conditional release for former Hillross adviser

ANNABELLE DICKSON  |  TUESDAY, 10 AUG 2021
... under the Crimes Act 1900 (NSW). The magistrate took into account Kourieh's remorse and cooperation with the investigation when handing down her decision in Parramatta Court on August 6. Kourieh was a director of Nexus Financial Planning which was ...

Former Millennium3 representatives cop ban

KARREN VERGARA  |  TUESDAY, 3 AUG 2021
... 2004, providing financial product advice and dealt in financial products. ASIC banned the Lismore-based duo after an investigation found that they failed to ensure that NCFS complied with financial services law; its representatives also failed to abide ...

AFCA weeds out phony complaints

ELIZABETH MCARTHUR  |  FRIDAY, 30 JUL 2021
... member and to the consumer to raise our concerns," Untersteiner said of AFCA's new way of doing things. "If our investigation told us that the complainant had not suffered loss, or the financial firm had not made an error - we closed the complaint." ...

AMP sued over corporate super misconduct

JAMIE WILLIAMSON  |  FRIDAY, 30 JUL 2021
... AMP did have some reprieve earlier this month however, with the regulator confirming it was dropping a criminal investigation related to the group's Buyer of Last Resort Policy and the way in which AMP continued to charge orphaned advice clients ...

Companies failing harassment victims: ACSI

ELIZABETH MCARTHUR  |  THURSDAY, 22 JUL 2021
... Szlakowski's time at AMP Capital, where she would formally accuse Boe Pahari of sexual harassment. An independent investigation into Szlakowski's complaint against Pahari, commissioned by AMP Capital, found her accusation to be credible. However, Pahari's ...