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Showing 701 - 710 of 723 results for "Misconduct"

ASIC restructures staff line-up

RUTH LIEW  |  MONDAY, 25 AUG 2008
... financial advisors and Louise du Pre-Alba, super funds. ASIC is also improving its investigation and prosecution of serious misconduct endeavours, with new deterrence teams formed to focus on various aspects of the financial markets including financial ...

Patersons' poor compliance under review

... ongoing discussions with both Patersons and Ord Minnett to ensure that all clients who suffered due to any adviser misconduct are fully compensated. Michelle Baltazar

Not on our watch: ASIC

... per cent increase in action against illegal investment schemes, 90 per cent more civil orders against professional misconduct and enforcement proceedings against 352 companies, all in a year's work for the regulator. ASIC has released its 2005-2006 annual ...

SEC hits fraudulent insurer with $790m penalty

... million to a distribution fund administered by the SEC to compensate those who lost money from the fraud. SEC said the misconduct affected more than 50 mutual funds and occured from at least September 1999 through to June 2003. The insurer will also ...

ASIC bans broker and adviser for life

HAMISH MADDEN  |  MONDAY, 14 AUG 2006
... executive director, compliance, Jennifer O'Donnell, said. "Early reporting to ASIC by financial services licensees of misconduct by their representatives assists ASIC to take action of this kind."

Former Westpac rep rips off $500k

... ASIC's deputy director of enforcement, Allen Turton, said, "ASIC will continue to exclude representatives who engage in misconduct to protect consumers and maintain confidence in the financial services industry. "Early reporting to ASIC by financial ...

ASIC chairman talks about governance and er, bullfrogs

... years is to strengthen the integrity of Australian corporations by acting against corporate and financial fraud and misconduct by company directors and officers," Lucy pointed out that fraudulent activities go undetected due to 'weak and ineffective ...

ASIC gets active against small companies

... with high-profile matters relating to big companies, but these results clearly show that ASIC focuses on corporate misconduct at the small business end as well,' said Adrian Borchock, ASIC's Director of Action, National Assessment and Action. He said ...

ASIC releases super switching study results but FPA not satisfied

... highlighted some areas where licensees and advisers needed to lift their game. In particular, we identified some instances of misconduct during the surveillance, some of which has already led to enforcement action." However the Financial Planning Association ...

ASIC to scrutinise accountants' SMSF advice

... superannuation savings to one." In addition to these areas the regulator will also be looking situations where potential misconduct may have arisen such as advising a client to set up a SMSF in order to get early access to their retirement savings. Cooper ...