Search Results | Showing 871 - 880 of 1612 results for "Investigation" |
| | | ... in the best interests of the clients as he had not identified the subject matter of the advice; conducted a sound investigation into the financial products that might achieve the objectives and the needs of the client that would reasonably be considered ... |
| | | | The Federal Court of Australia penalised a Sydney-based managed investment services boutique for falsely claiming that its projects were approved by ASIC. Huntley Management operates as a responsible entity and custodian for registered schemes and as ... |
| | | | ... false documents. He was arrested in Bondi yesterday, refused bail and is due to face Waverly Local Court today. The investigation is ongoing, NSW police said in a statement. The arrest is part of Strike Force Garigal, established by detectives in December ... |
| | | | ... be transferred. Panganiban, who was part of AMP Financial Planning between February 2011 and July 2014 when the investigation took place, received the full rate of commission hence boosting his own remuneration, ASIC said. Since leaving AMP, he became ... |
| | | | An investigation by ASIC has forced NAB Group advice licensees to make corrective disclosures to customers. The corporate regulator found that NAB's dealer groups failed to disclose relationships between advisers, licensees, and other members of the ... |
| | | | A Sydney man posing as a financial adviser has been charged after he allegedly defrauded elderly clients of their life savings. The 34-year-old man, who was the sole director of a Woollahra-based finance and investment company, was arrested yesterday ... |
| | | | ... ASIC's Markets Disciplinary Panel slapped Macquarie Securities with a $505,000 fine for trading "recklessly." An investigation in 2014 found Macquarie customised the parameters of its concurrent bid-offer filter within its automated order processing ... |
| | | | ... mergers between IDS Group, Advance Group, Ashdale Integrity Solutions, Yates Professional Investigations and Trademark Investigation Services. JB Financial expects the business to contribute about $27 million in revenue over the next financial year. ... |
| | | | ... Company, a general insurer whose bundled add-on products included life insurance cover, has been subject to an ASIC investigation involving more than 500 customers. In a release issued by the regulator, Virginia Surety was said to have sold consumer ... |
| | | | ... former representative of Westpac has been banned from providing financial services for five years following an ASIC investigation. Sudhir Kumar Sinha, a financial planner from Western Australian, was found to have systematically failed to meet his ongoing ... |
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