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Showing 961 - 970 of 1609 results for "Investigation"

Banned former CBA planner charged with forgery

MARK SMITH  |  TUESDAY, 17 MAY 2016
... former Commonwealth Financial Planning adviser has been charged for forging client documents. Following an ASIC investigation, Gold Coast man Ricky David Gillespie, 38, has appeared in the Southport Magistrates Court on one rolled-up charge alleging ...

ASIC reduces ban on director of fabricated fund

KERRIE SYDEE  |  MONDAY, 18 APR 2016
... financial services from four years to three. ASIC originally banned Duncan from providing financial services after an investigation found he had made misleading claims on the on the Active Capital Managers (ACM) website in relation to 'Exalt Managed ...

APRA releases report on Trio investigation

KERRIE SYDEE  |  MONDAY, 11 APR 2016
The Australian Prudential Authority (APRA) has released its report on its investigation into the failure of Trio Capital Limited (Trio) and loss of up to $150m. The investigation resulted in the removal of 13 former Trio directors from the superannuation ...

Trio Capital compensation complete

KERRIE SYDEE  |  FRIDAY, 1 APR 2016
The Government will not provide further compensation to two groups of SMSF investors affected by the collapsed Trio Capital. In a statement the government said that the two investor groups, made up of Self Managed Super Fund (SMSF) trustees, were not ...

ASIC releases 2016 enforcement report

KERRIE SYDEE  |  THURSDAY, 31 MAR 2016
ASIC has released its latest enforcement report, highlighting key outcomes for the period 1 July 2015 to 31 December 2015, flagging integrity of financial market benchmarks and disclosure obligations and market abuse as key areas of focus for the future. ...

Advice firm made to take specialist SMSF training

ALEX BURKE  |  THURSDAY, 31 MAR 2016
ASIC has requested all advisers in an SMSF advice firm complete specialist training following an investigation. CMH Financial Group was found to have provided advice that, in the regulator's view, "did not demonstrate that the advice provider had acted ...

IMF Bentham announces $30m bond issue

KERRIE SYDEE  |  WEDNESDAY, 23 MAR 2016
... Canada, New Zealand, Hong Kong, Singapore, United Kingdom and mainland Europe. Its principal activities are the investigation, funding and management of litigation claims. IMF Bentham chief executive Andrew Saker said the company would use the funds ...

ASX chief announces immediate resignation

ALEX BURKE  |  MONDAY, 21 MAR 2016
... Kupper, who has been ASX chief executive since October 2011, is currently involved in an Australian Federal Police investigation into allegations of bribery at Tabcorp in 2009 (when he was chief executive of the company). Specifically, a payment of $200,000 ...

ASIC tightens Macquarie's AFSL

ALEX BURKE  |  FRIDAY, 11 MAR 2016
... ASIC has announced additional conditions on Macquarie Bank's Australian financial services licence following an investigation. ASIC investigated several Macquarie breach reports between 2004 and 2014 pertaining to "breaches of the client money provisions ...

Up to 2.4m super members affected by CommInsure scandal

MARK SMITH  |  THURSDAY, 10 MAR 2016
... allegations which have rocked insurance company CommInsure, according to Rainmaker Information estimates. A joint investigation by Fairfax the ABC's 4 Corners alleged the company pressured doctors into changing their assessments of customers to avoid ...