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Showing 691 - 700 of 1607 results for "Investigation"

Clayton Utz finally hands AMP notes to ASIC

HARRISON WORLEY  |  MONDAY, 11 MAR 2019
... manager. In October last year, ASIC issued AMP with a compulsory notice to produce the notes as part of the ongoing investigation into AMP's fees-for-no-service issues and "related false or misleading statements to ASIC." Originally the wealth manager ...

CFA Institute settles hiring dispute

DARREN SNYDER  |  WEDNESDAY, 27 FEB 2019
... graders. The global association of investment professionals will pay a fine of US$321,000 ($446,768) following an investigation into the hiring process. The CFA institute said it co-operated fully with the DOJ during the course of its investigation into ...

Institutional investors call out climate policy

DARREN SNYDER  |  WEDNESDAY, 27 FEB 2019
... commitments through time. Capped government funds have limited flexibility." Herd described the Government's support for investigation into stronger network connection with Tasmania and large-scale energy storage is important. "Investors will continue ...

GAM sacks investment director

JAMIE WILLIAMSON  |  FRIDAY, 22 FEB 2019
... confirmed fixed income investment director Tim Haywood was dismissed for "gross misconduct" following an internal investigation. And he's appealing the decision. In August 2018, Haywood was at the centre of an investigation that saw GAM's range ...

ASIC flags post-RC criminal prosecutions

JAMIE WILLIAMSON  |  WEDNESDAY, 20 FEB 2019
... were presented as case studies during the inquiry and assessing a further 16 case studies to determine whether an investigation is required. This is in addition to the actions already commenced against NAB's Nulis and MLC, as well as Dover Financial ...

Accountant banned for bad SMSF advice

HARRISON WORLEY  |  TUESDAY, 19 FEB 2019
... carefully before deciding to establish an SMSF." The corporate regulator said it decided to probe Thorne's during an investigation into Park Trent Properties Group, when it discovered she received referrals in relation to establishing SMSFs from the ...

ASIC enforcement must get tough: Commissioner

KANIKA SOOD  |  TUESDAY, 5 FEB 2019
... hearings kicked off last year, and commenced civil proceedings against NAB/NULIS Nominees in September. "Despite ASIC's investigation, the evidence led in the Commission showed that some entities may have continued to charge fees for which no service ...

Former adviser steals $5m from clients

JAMIE WILLIAMSON  |  MONDAY, 4 FEB 2019
... Madison Financial Group when the offences occurred. A breach report issued by Madison to ASIC prompted the regulator's investigation. Gibbs is currently on bail and is due to appear in the committal court on 27 February 2019. According to the ASIC Financial ...

ASIC terminates managed accounts provider AFSL

KARREN VERGARA  |  FRIDAY, 1 FEB 2019
... has cancelled the AFSL of managed accounts provider Jade Capital Partners and banned one of its directors. An ASIC investigation of Sydney-based Jade Capital, a managed discretionary account provider specialising in trading services and advice, uncovered ...

Ponzi scheme fined $1.4bn

KANIKA SOOD  |  WEDNESDAY, 30 JAN 2019
... distributions from liquidating the companies' assets. The Securities and Exchange Commission is continuing its investigation.