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Showing 601 - 610 of 666 results for "Penalty"

UK FSA fines false advice

MICHELLE BALTAZAR | TUESDAY, 19 APR 2011

Fincorp chief handed reduced jail term

RACHEL DAVIS | MONDAY, 11 APR 2011

... reduced period due to exceptional circumstances which are the need to care for his physically disabled son. The maximum penalty for each offence is five years imprisonment and/or a $220,000 fine. He is disqualified from managing another Australian corporation ...

Financial planners crushed by rigid ATO

ALISON BEVEGE | MONDAY, 4 APR 2011

... one to play in." Busoli said massive penalties were then incurred for minor mistakes. "A mistake of $100 can result in a penalty anywhere from $30 to $140,000," he said. "That scale of penalties is absurd." Busoli said the cost of private indemnity insurance ...

BT targets advisers with contribution tracker

MATT WOODINGTON | TUESDAY, 29 MAR 2011

... in 2010 and most are thought to have exceeded the limit inadvertently. Regardless, it can result in a 93 per cent tax penalty. BT Wrap's Super Contributions Tracker enables advisers to create up to date contribution reports for their super clients, which ...

Astarra director faces five years jail, $220k fine

ASIC RELEASE | WEDNESDAY, 8 DEC 2010

The former director of Astarra Asset Management, Shawn Richard, faces a maximum penalty of 5 years imprisonment or a $220,000 fine - or both - and has been banned for life from providing financial services. Richard pleaded guilty to two charges of dishonest ...

ASIC bans adviser and charges former director

ELISE BURGESS | WEDNESDAY, 10 NOV 2010

... bank accounts he controlled, using the funds for the three companies and his own personal use. Finnigan faces a maximum penalty of five years' imprisonment, a $220,000 fine, or both, in relation to each charge.

Market Wrap - Midday

AAP | TUESDAY, 12 OCT 2010

... senior adviser Stuart Smith was optimistic the market would improve throughout the day, however. "We're probably paying the penalty for being up 20-odd points yesterday, but I think we're just taking 24 paces back so we can having a running jump at 4,700," ...

Former liquidator face 19 ASIC charges

ELISE BURGESS | TUESDAY, 24 AUG 2010

... Falling under section 176A of the NSW Crimes Act, Ariff is facing 13 charges under this act which each carry a maximum penalty of 10 years imprisonment. Additionally, Ariff allegedly made false statements regarding receipts and payments associated with ...

Goldman Sachs pay $620m to settle SEC lawsuit

SEC RELEASE, BLOOMBERG | FRIDAY, 16 JUL 2010

Goldman Sachs & Co has paid the US regulator more than $620 million (US$550 million), the largest penalty ever levelled against a financial firm, for allegedly misleading investors regarding the deals behind its sub-prime mortgage product. Goldman Sachs ...

Saved by BP and Goldman

BENJAMIN ONG | FRIDAY, 16 JUL 2010

... fraud case. The SEC did after the closing bell. In settling the fraud charges, Goldman agreed to pay US$550 million as penalty and admit that its CDO marketing materials had "incomplete information." Reports say that the penalty was the largest ever ...

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Federal Court calls out ASIC for re-running case on appeal

RIDDHIMA TALWANI

The Full Federal Court of Australia has criticised regulators for falling back on appeals to re-litigate cases on a different legal basis than the one run at trial.

Evergreen founder exits Ascalon Capital

KARREN VERGARA

Ascalon Capital has bid farewell to Evergreen Consultants' founder Angela Ashton, shortly after acquiring the consulting firm last year.

Powerhouse Ventures partners with European fund manager

KARREN VERGARA

ASX-listed Powerhouse Ventures has partnered with an unnamed European fund manager that will commit US$50 million to its fledgling Critical Infrastructure Opportunities (CIO) Fund.

KeyInvest unveils new investment platform, awards mandate

MATTHEW WAI

KeyInvest has launched a new investment platform to include a plethora of investment strategies ranging from private credit to global equities.

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