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Showing 941 - 950 of 1609 results for "Investigation"

ASIC cancels AFSL, bans responsible managers

DARREN SNYDER  |  FRIDAY, 9 SEP 2016
... annum and that results like this could be achieved by enrolling in The Sharemarket College training courses. An ASIC investigation established there was no investment portfolio and that the claims were false and misleading. The investigation also found ...

Inflows and performance boost Australian Ethical profits

MARK SMITH  |  WEDNESDAY, 31 AUG 2016
... Australian Ethical is setting aside around $900,000 to refund members for errors in unit pricing. The company said an investigation is underway and further information will be provided to the market in the first half of this financial year.

Storm Financial investor slams court decision

ALEX BURKE  |  MONDAY, 29 AUG 2016
... Standard, SICAG joint chair Mark Weir said he was "a bit cynical about the whole exercise," suggesting the ASIC investigation that led up to the court ruling "identified the easy target, and hasn't led to anybody identifying any criminal or premeditated ...

ASIC bans former Macquarie advisers

JAMIE WILLIAMSON  |  THURSDAY, 25 AUG 2016
... and strategic financial planner Gardner were both employed in the Brisbane office of Macquarie Equities. The ASIC investigation also found that Sourris advised eight clients between September 2011 and November 2012 to open options accounts allowing them ...

ASIC accepts EU from My Adviser

KERRIE SYDEE  |  WEDNESDAY, 24 AUG 2016
ASIC has accepted the enforceable undertaking (EU) of My Adviser after an investigation found one of its representatives had provided poor and unauthorised advice on a number of instances. The investigation, which commenced in January 2016, looked at ...

Industry fund inks MetLife mandate

DARREN SNYDER  |  TUESDAY, 16 AUG 2016
... price and without reducing disposable income," Lander said. CommInsure was plagued by a joint ABC and Fairfax Media investigation earlier this year and yesterday it reassured members it was taking measures to upgrade its product offering. "The reviews ...

AAT upholds ASIC adviser ban

KERRIE SYDEE  |  FRIDAY, 12 AUG 2016
... NSW, was permanently banned from providing financial services and engaging in credit activity following an ASIC investigation which led to Sahay being convicted on three charges of making false statements, making false documents and using false documents ...

CBA posts record profit despite dip from wealth division

MARK SMITH  |  WEDNESDAY, 10 AUG 2016
... billion to bring total assets to $12.27 billion in a period that saw the brand affected by a high profile Fairfax investigation. Commonwealth Bank ranked outright number one for retail customer satisfaction for each month during the financial year, and ...

ASIC compensation plummets despite surveillance success

ALEX BURKE  |  MONDAY, 8 AUG 2016
The amount of consumer compensation ASIC secured decreased by 91% in the six months to June 30, 2016, despite increased surveillance outcomes almost across the board. ASIC's latest enforcement report shows that the regulator secured $13.4 million in ...

ATO on phoenix watch

DARREN SNYDER  |  MONDAY, 1 AUG 2016
... Coast. The ATO said the six warrants were executed through the multi-agency Phoenix Taskforce and formed part of an investigation in to unpaid superannuation, employee withholding tax, GST, and income tax. ATO deputy commissioner Michael Cranston said ...