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Showing 671 - 680 of 1608 results for "Investigation"

Former Kaz Capital adviser banned

ELIZABETH MCARTHUR  |  FRIDAY, 17 MAY 2019
... David Stephen Cornford has been banned from providing financial services for a period of six years following an ASIC investigation during which he was found to be buying and selling listed securities on clients' accounts without the authorisation to ...

Life expectancy declining: KPMG

KARREN VERGARA  |  WEDNESDAY, 15 MAY 2019
... expected to live a further 23.4 years from the age of 65. Using data from mortality research house Continuous Mortality Investigation Bureau, KPMG is now anticipating a "lost decade" of life expectancy improvements between 2009 and 2019. Mortality assumptions ...

ASIC catches illegal dual licensees

ELIZABETH MCARTHUR  |  MONDAY, 13 MAY 2019
... authorised representatives of other AFS licensees. ASIC has revoked authorisation of these dual licence holders after an investigation into 65 AFS licence holders found that 58 were breaking the law. Under the Corporations Act, an AFS licensee cannot ...

Couple faces prison over ponzi-style scam

ELIZABETH MCARTHUR  |  FRIDAY, 10 MAY 2019
... for fraud offences. Douglas Johnston was found guilty on nine dishonesty charges, brought against him following an investigation by ASIC. He and his wife Maureen ran a dodgy investment scheme that resulted in $815,000 being defrauded from investors they ...

Former AMP adviser pleads guilty

JAMIE WILLIAMSON  |  WEDNESDAY, 8 MAY 2019
... Wales has pleaded guilty to three counts of dishonestly obtaining client funds in the District Court of NSW. An investigation by ASIC found Martin dishonestly obtained about $208,000 from clients between June 2011 and April 2015. In order to do so, ASIC ...

The state of the banks

ELIZABETH MCARTHUR  |  TUESDAY, 7 MAY 2019
... remediation costs have related mostly to misconduct issues within wealth management divisions, he said. "But, ongoing investigation into product design and compliance will likely see further increases in the banks' remediation burden that will put cost-to-income ...

ASIC bans AFSL chief executives

ELIZABETH MCARTHUR  |  MONDAY, 29 APR 2019
ASIC banned two joint chief executives from providing financial services for six years following an investigation. Jeffrey Worboys and Matthew Barnett were joint chief executives of Australian Mutual Holdings - an AFSL holder and responsible entity ...

ASIC appoints receiver for derivatives issuer

ELIZABETH MCARTHUR  |  FRIDAY, 26 APR 2019
... Secatore, of Cor Cordis, have been appointed to act as joint and several receivers. The regulator says that its investigation is continuing and that proceedings before the court are ongoing. The receivers are expected to report back to the court by the ...

Former NAB adviser charged

JAMIE WILLIAMSON  |  TUESDAY, 23 APR 2019
A former NAB financial adviser has been charged with two offences following an investigation by ASIC. Max Kiattisak Eung of Tempe, New South Wales was charged with two offences of obtaining financial advantage by deception. It is alleged that between ...

Former Dover, Securitor adviser banned

ELIZABETH MCARTHUR  |  THURSDAY, 18 APR 2019
... advice in the best interest of clients. Peter Anthony Chigwidden has been banned for five years following an ASIC investigation. Chigwidden licensed by Dover from May 2016 to October 2017 and was most recently with Lifestyle Asset Management, a boutique ...

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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