Search Results | Showing 691 - 700 of 723 results for "Misconduct" |
| | | ... subsequent fall out, but the regulator has not always been successful in prosecuting companies that were suspected of misconduct. "As noted by industry representative groups in the post-survey interviews, some of these high profile cases have resulted ... |
| | | | In a landmark case, a young broker charged with multiple counts of insider trading has received a four-and-a-half year jail sentence, the highest sentence on record for that offence in Australia. On December 2 John Joseph Hartman, 25, of Mosman, New ... |
| | | | ... Wales, from providing financial services. ASIC's action against Aloisi follows its investigation into allegations of misconduct during his employment as an authorised representative with AMP Financial Planning from 1 January 2004 to 5 August 2009 and ... |
| | | | ... is subject to court approval. "This historic settlement is an excellent result for all shareholders harmed by AIG's misconduct, including Ohio's teachers, firefighters, police officers, and public employees. Ohio is determined to send a strong message ... |
| | | | ... reasons as cited in the Act include the recovery of damages for fraud, negligence, default, breach of duty or other misconduct, committed in connection with a matter to the investigation or examination. In addition, ASIC may begin civil proceedings for ... |
| | | | ... more detailed investigations into the circumstances of a company failure and to report, where appropriate, director misconduct to ASIC. All the directors who were banned were afforded the opportunity to lodge an application with the Administrative Appeals ... |
| | | | The Financial Planning Association (FPA) has launched its confidential misconduct reporting facility, FPA Confidential. Jo-Anne Bloch, chief executive at the FPA, said the system, which was developed in conjunction with Deloitte Touche Tohmatsu, would ... |
| | | | ... individuals to $500,000 or three times the profit made or loss avoided (whichever is greater) for those who breach market misconduct provisions. For corporations, the penalty will be the greater of $5,000,000, three times the profit made or loss avoided ... |
| | | | ... half of respondents said they have "no confidence at all" in ASIC's ability to monitor and prevent financial adviser misconduct and investment product blowups. Respondents may have been split on some topics but an overwhelming 97 per cent supported making ... |
| | | | ... could be done to assist the Australian Securities and Investments Commission (ASIC) in its response to potential market misconduct. He said the industry could play a bigger role by alerting and assisting ASIC to concerns they have in the market. "A strong ... |
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