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Showing 701 - 710 of 1609 results for "Investigation"

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.

ASIC bans former NAB, CBA advisers

JAMIE WILLIAMSON  |  THURSDAY, 24 JAN 2019
... by ASIC for dishonest conduct while licensed by GWM Adviser Services and later Interprac Financial Planning. An investigation found Nguyen, a Certified Financial Planner, had backdated advice documents to clients and incorrectly witnessed binding nomination ...

NSW adviser banned for 25 years

KANIKA SOOD  |  TUESDAY, 22 JAN 2019
... a 25-year ban to a New South Wales financial adviser and wound up two companies related to him following an ASIC investigation. Starting in 2008, Graeme Walter Miller advised SMSFs and other clients of CFS Private Wealth to transfer more than $4.7 million ...

ASIC cracks down on non-compliant AFSL

JAMIE WILLIAMSON  |  MONDAY, 21 JAN 2019
... deemed deficient. HNW Planning is located at Erina on the Central Coast and has been self-licensed since 2003. ASIC's investigation concluded that HNW Planning did not have sufficient processes in place to identify non-compliance by authorised representatives ...

ATO and TPB terminate tax agents

DARREN SNYDER  |  FRIDAY, 18 JAN 2019
... registrations of tax agents QTR Accountants and Nicoh Group were terminated this week following a joint TPB and ATO investigation. The Tax Practitioners Board (TPB) and the Australian Taxation Office (ATO) received 19 consumer complaints about the registered ...

Former adviser faces Supreme Court

JAMIE WILLIAMSON  |  THURSDAY, 17 JAN 2019
... business unless authorised. The matter will be heard in the Supreme Court in Brisbane on 12 February 2019. ASIC's investigation is ongoing.

ASIC suspends online broker AFSL

KARREN VERGARA  |  TUESDAY, 15 JAN 2019
ASIC has suspended the AFSL of an online stockbroking firm until 10 January 2020. Halifax Investment Services had its licence suspended shortly after it went into voluntary administration. ASIC said the terms of the suspension will allow Halifax clients ...

MetLife Australia wins tech award

KANIKA SOOD  |  TUESDAY, 8 JAN 2019
Over the Christmas break, MetLife Australia's tech team took home an international award for its claims platform launched to Statewide Super's members last year. MetLife chief information officer Tim Batten's team snagged a spot on ACORD's ...

ASIC to examine super fund and employer connections

HARRISON WORLEY  |  TUESDAY, 8 JAN 2019
... after a year in which default superannuation arrangements were a point of focus. According to the report, ASIC's investigation is set to examine how employers determine which fund manager should assume responsibility for protecting the retirement savings ...