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Showing 631 - 640 of 1608 results for "Investigation"

Tropical theme Ponzi scheme busted

ELIZA BAVIN  |  FRIDAY, 22 NOV 2019
... business owners and seniors in Florida have been the victim of a tropical themed Ponzi scheme that is now under investigation by the US Securities and Exchange Commission. The SEC announced that it has filed an emergency action and obtained a temporary ...

Chief economist update: Cloudy 2020 vision for OECD

BENJAMIN ONG  |  FRIDAY, 22 NOV 2019
... Factset notes 'Politico's' report that: "Trump administration officials considering starting a new trade investigation into the EU as the window closes on imposing auto tariffs." This equals more uncertainty for business and with it, continued ...

Westpac faces 23 million breaches

ELIZA BAVIN  |  WEDNESDAY, 20 NOV 2019
... executive Nicole Rose said that AUSTRAC's decision to commence civil penalty proceedings was made following a detailed investigation into Westpac's non-compliance. "These laws are in place to protect Australia's financial system, businesses and the community ...

Chief executive banned for paying wife

ELIZABETH MCARTHUR  |  TUESDAY, 19 NOV 2019
... concerns were raised about Mrs Forsyth's remuneration, Mr Forsyth inappropriately involved himself in a subsequent investigation by an external auditor." Forsyth then submitted the falsified meeting minutes in response to a PRA information request. The ...

Total Financial Solutions to shutter next year

ELIZA BAVIN  |  TUESDAY, 19 NOV 2019
... no known outstanding regulatory matters, but did flag that there is currently one client remediation matter under investigation but said it is unlikely this will result in compensation being paid.

CommInsure enters guilty plea

ELIZA BAVIN  |  TUESDAY, 19 NOV 2019
... The case has been handed over to the Commonwealth director of public prosecutions from ASIC with details of the investigation and a prosecution brief. CommInsure was charged by the regulator in early October and is facing up to $1.8 million in penalties. ...

NAB faces half a billion in fines

ELIZA BAVIN  |  WEDNESDAY, 13 NOV 2019
... broke credit laws in relation to 297 loans written after referrals from unlicensed introducers. ASIC claimed its investigation uncovered that NAB bankers overstepped the 'spot and refer' requirement by accepting information and documentation from unlicensed ...

Adviser scammed family, friends

ELIZABETH MCARTHUR  |  FRIDAY, 8 NOV 2019
... investment professional's background." Pierre is now facing anti-fraud charges and criminal charges following an investigation by the SEC.

Trustee firm, super fund in hot water

JAMIE WILLIAMSON  |  WEDNESDAY, 6 NOV 2019
... also has responsibility for regulating Tidswell under the SIS Act, ASIC said. "APRA has supported ASIC with its investigation and has provided ASIC with a delegation of certain functions and powers under the SIS Act in relation to Tidswell in order to ...

ASIC freezes Sydney advisers' assets

ELIZA BAVIN  |  WEDNESDAY, 6 NOV 2019
... in the Supreme Court of NSW against QWL, QWL Asset Management and sole director Ross Hopkins. "ASIC commenced an investigation in relation to allegations that Mr Hopkins and QWL failed to assist the Australian Financial Complaints Authority (AFCA) to ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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