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Showing 771 - 780 of 1609 results for "Investigation"

ASIC admits AMP inaction

JAMIE WILLIAMSON  |  FRIDAY, 22 JUN 2018
... that those matters identified by way of AMP testimony at the Royal Commission was known to us. We have an ongoing investigation that includes those matters and there is a very limited amount I can say more, other than we were not surprised at all by ...

Priestley resigns from ASX, Future Fund boards

KANIKA SOOD  |  TUESDAY, 19 JUN 2018
... of the Australian Securities Exchange and the Future Fund following the ACCC pursuing a criminal cartel conduct investigation. Announcing his decision, Priestley said the ACCC banking matter may become a "potential distraction" for the ASX and other ...

ASIC drags Westpac to court

KANIKA SOOD  |  MONDAY, 18 JUN 2018
... the use of its proprietary data analytics tool, Planner Risk Insights. Following detection, Westpac commenced an investigation, suspended Mr Sinha in September 2014 and subsequently dismissed Mr Sinha in November 2014," Westpac said in a statement. Westpac ...

Industry responds to Dover shutdown

JAMIE WILLIAMSON  |  TUESDAY, 12 JUN 2018
... advice that they deserve." In a brief statement, ASIC confirmed that Dover's closure is the result of an ongoing investigation commenced in 2017, under which Dover was made aware that the regulator "was minded to suspend or cancel Dover's AFSL." ...

Former NAB adviser permanently banned

HARRISON WORLEY  |  FRIDAY, 8 JUN 2018
... Eung while he was a financial adviser at NAB, focusing on the period between March and December 2016. However, the investigation expanded to probe a mortgage broking business Eung incorporated after his time at NAB. The regulator added Eung became a ...

ASIC looks into Melbourne planning firm

HARRISON WORLEY  |  THURSDAY, 7 JUN 2018
ASIC surveillance of a Melbourne based financial planning business will extend to an independent review of its compliance arrangements. Record keeping, supervision and other compliance arrangements of Melbourne-based Allied Financial Solutions are the ...

Charges laid in ANZ criminal cartel conduct case

KANIKA SOOD  |  TUESDAY, 5 JUN 2018
... of the alleged conduct," the competition regulator said in a statement. The charges follow from a two-year long investigation undertaken by Australian Competition and Consumer Commission (ACCC). The news comes four days after ACCC said it expected charges ...

ASIC bans former AMP adviser

HARRISON WORLEY  |  MONDAY, 4 JUN 2018
... of Westpac for five years, departing in June 2010. He joined Charter in December 2013, with ASIC confirming its investigation only examined advice he provided between 2013 and 2016. ASIC said its wealth management project - which focuses on the conduct ...

ANZ, Deutsche and Citigroup under investigation for alleged cartel conduct

KANIKA SOOD  |  FRIDAY, 1 JUN 2018
... company and our employee." ANZ said it was notified by ACCC late yesterday and is co-operating with ASIC in the investigation. ACCC and ANZ have both said they will not comment any further. The ACCC investigates cartel conduct, manages the immunity process ...

Former adviser faces fraud charges

HARRISON WORLEY  |  MONDAY, 28 MAY 2018
... representative of Growth Plus Financial Group. Jayaweera's Brisbane court appearance is the latest step in an ongoing investigation into the practices of the former adviser, after ASIC accepted an enforceable undertaking preventing Jayaweera from providing ...