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Showing 831 - 840 of 1609 results for "Investigation"

RNY wind-up sought as ASIC blocks Aurora move

ALEX BURKE  |  TUESDAY, 9 JAN 2018
... parent company, SIV Asset Management (SAM), formerly known as Aurora Funds Limited. It also said external fraud investigation consultants have been engaged to review the "conduct of a former executive involved in the misappropriation of funds" - likely ...

Financial Standard's top stories of 2017

ALEX BURKE  |  FRIDAY, 22 DEC 2017
... soon as possible. The manager said the matter has been reported to Victoria Police, where it is currently under investigation. 7. US Investment giant builds out Sydney team (16 February) The private capital arm of a $1 trillion US investment manager ...

AFA to launch investigation into adviser misconduct

JAMIE WILLIAMSON  |  FRIDAY, 22 DEC 2017
The Association of Financial Advisers has confirmed it will launch its own investigation into why three of its members entered into enforceable undertakings with ASIC in as many days. While AFA chief executive Phil Kewin said he would not discuss the ...

Industry names team up for cryptocurrency fund

JAMIE WILLIAMSON  |  THURSDAY, 21 DEC 2017
... Brian Armstrong wrote: "Given the price increase in the hours leading up the announcement, we will be conducting an investigation into this matter. If we find evidence of any employee or contractor violating our policies?-?directly or indirectly?-?I ...

Aurora traces stolen $1 million to former owner

ALEX BURKE  |  TUESDAY, 19 DEC 2017
... was transferred to SIV Asset Management (SAM), formerly known as Aurora Funds Limited. It also said external fraud investigation consultants have been engaged to review the "conduct of a former executive involved in the misappropriation of funds" - likely ...

CommInsure life insurance ads misleading: ASIC

KARREN VERGARA  |  TUESDAY, 19 DEC 2017
The final investigation into CommInsure will see the life insurer pay $300,000 to a community group after ASIC raised concerns about misleading advertisements for two of its life insurance policies. An investigation between mid-2013 to March 2016 found ...

CBA hit with fresh AML breaches by AUSTRAC

EMMA RAPAPORT  |  FRIDAY, 15 DEC 2017
... alleged contraventions were identified after the civil penalty proceedings were instituted through AUSTRAC's ongoing investigation into CBA. "These allegations are very serious and reflect systemic non-compliance over approximately six years," Rose said. ...

AAT upholds ruling against ex-Macquarie and ex-Credit Suisse advisers

EMMA RAPAPORT  |  TUESDAY, 12 DEC 2017
... providing financial services for three years. ASIC's decision to ban Tony Davidof and Philip McLean followed an investigation that found both had engaged in manipulation of the price of MINI warrants issued by Credit Suisse (commonly called 'MINIs') ...

Deutsche Asset Management rebrands

KARREN VERGARA  |  WEDNESDAY, 6 DEC 2017
... legal, compliance, risk, governance and legal entity management. He was most recently the global head of incident and investigation management. It also includes Stefan Kreuzkamp (chief investment officer and co-head, investment group), Pierre Cherki ...

Former CBA-aligned adviser banned for three years

ALEX BURKE  |  FRIDAY, 1 DEC 2017
... clients with a Statement of Advice. In response, Centrepoint Alliance said it has fully co-operated with ASIC in its investigation into Rao. "Due diligence was given when addressing the initial complaint against Rao, therefore Centrepoint Alliance was ...