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Showing 461 - 470 of 1607 results for "Investigation"

Court makes orders in ASIC versus TAL

KANIKA SOOD  |  WEDNESDAY, 10 MAR 2021
... threatening to recover $24,000 in payments that had been made to her after the insurer started its retrospective investigation. "TAL acknowledges the judgment of the Federal Court in the proceedings brought by ASIC involving a customer claim made in ...

ASIC pursues criminal charges in super

JAMIE WILLIAMSON  |  WEDNESDAY, 10 MAR 2021
ASIC has outlined its ongoing body of work in the superannuation space, confirming it has compiled two briefs of evidence in support of criminal charges with the Commonwealth Director of Public Prosecutions and is undertaking more than 20 enforcement ...

Former adviser charged over fabricated information

JAMIE WILLIAMSON  |  FRIDAY, 5 MAR 2021
... provided three wholesale client certificates to ASIC that were backdated in the hope of ceasing or modifying an investigation the regulator had undertaken. ASIC alleges that, when questioned over the documents under oath, Nesseim provided false answers ...

Westpac best for ESG reporting in Australia: Report

ELIZABETH MCARTHUR  |  FRIDAY, 5 MAR 2021
... study. The positive ESG result for the bank may be surprising given Westpac was fined $1.3 billion after an AUSTRAC investigation found it had breached anti-money laundering and counter-terrorism financing laws. Westpac was one of only two companies ...

Venture capital firm in data breach

KARREN VERGARA  |  WEDNESDAY, 3 MAR 2021
... acquire a copy of files containing the personal information of fewer than 1000 California residents. As part of our investigation, we have analysed the contents of the affected email mailbox and determined that it contained your personal information ...

ASIC drags CommSec to court

ELIZABETH MCARTHUR  |  MONDAY, 1 MAR 2021
... adequate systems and processes in place to ensure compliance. "CommSec and AUSIEX have co-operated with ASIC's investigation and entered into a Statement of Agreed Facts and Contraventions (SOAFAC)," ASIC said. "ASIC alleges, and CommSec and AUSIEX ...

Remains of Melissa Caddick found

ELIZABETH MCARTHUR  |  FRIDAY, 26 FEB 2021
... missing woman Melissa Caddick, the woman who claimed to be a financial adviser and is the subject of an ongoing ASIC investigation. The human remains were discovered on a beach on the NSW South Coast on 21 February 2021. NSW Police said a group of people ...

Link flags PEXA listing

KARREN VERGARA  |  THURSDAY, 25 FEB 2021
... Some £2.54 billion ($4.5 billion) of capital has been returned to investors as at 31 December 2020. "As the FCA investigation is an ongoing and confidential process, Link Group cannot speculate or make any further comment on it. As at the date of these ...

ATO begins stimulus fraud convictions

ELIZA BAVIN  |  THURSDAY, 25 FEB 2021
... said. Saleh received $3000 from his false May 2020 claim, but his June claim was stopped by the ATO pending further investigation. Saleh pleaded guilty to the charges after admitting to the ATO that he had been dishonest in his applications. ATO deputy ...

ASIC extends olive branch to inside traders

KANIKA SOOD  |  WEDNESDAY, 24 FEB 2021
... first person who satisfies the immunity criteria and reports the misconduct to ASIC prior to commencement of an investigation into the conduct. "Individuals who do not meet the criteria for immunity are still encouraged to cooperate with ASIC and will ...