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Search ResultsShowing 1 - 5 of 5 results for "Queensland Criminal Code"
Former NAB, Infocus advisers banned
ALLY SELBY  |  MONDAY, 2 DEC 2019
... representative of Infocus Securities Australia. Williams had been charged with fraud and stealing under the Queensland Criminal Code. ASIC said that by "failing to disclose this information to Infocus and the professional indemnity insurer, Ms Williams ...
AAT overrides adviser ban
KARREN VERGARA  |  FRIDAY, 21 SEP 2018
... business name. Fletcher was convicted twice in 2014 for a number of serious fraud-related offences under the Queensland Criminal Code. A person is automatically disqualified from managing corporations if the person is convicted of an offence under the ...
Adviser contravenes FoFA obligations
EMMA RAPAPORT  |  MONDAY, 20 MAR 2017
... Queensland based financial adviser Dr Roger Gareth Munro following five counts of fraud under s408c of the Queensland Criminal Code. In 2015, ASIC filed a successful application in the Supreme Court of Queensland alleging that Munro breached s911A of ...
ASIC bans fraudulent adviser
KERRIE SYDEE  |  FRIDAY, 23 SEP 2016
... period of 22 months in the Brisbane District court on 55 charges of fraud under sections 408c of the Queensland Criminal Code.
ASIC deals out permanent ban to Brisbane financial planner
... Planning (part of the ING Group). Mr Baigent was subsequently charged with four counts of fraud under the Queensland Criminal Code, relating to his conduct between the period July 2001 and June 2002. Mr Baigent pleaded guilty in the District Court at ...
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