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Rcd.0015.0003.0208 RCD.0015.0003.0208 Public Results & Reports Type of Inquiry Date Industry Sector Entity/Subject Name Misconduct identified Actions or outcomes MR Heading MR number Formal investigation (an investigation 2/11/2011 Funds Management - Responsible Equititrust Limited ASIC concerned that Equititrust in breach of a condition of its Obtained various interim orders in the 11-238AD ASIC obtains orders against 11-238AD commenced pursuant to s13 ASIC Act or s247 Entities & schemes AFS licence requiring that it hold a minimum amount of net Supreme Court of Queensland constraining Equititrust Limited NCCP Act) tangible assets and has breached provisions of the the manner in which Equititrust is permitted Corporations Act 2001 (the Act) requiring that it lodge audited to operate the schemes. financial reports for EIF and EPCIF and audited reports of its compliance with the compliance plans for both EIF and EPCIF. Formal investigation (an investigation 31/07/2015 Funds management - Responsible Mr David Anthony Ross, Mr Richard Albarran ASIC was concerned that the appointment of Messrs Ross and ASIC was successful in its proceeding, with 15-203MR ASIC takes action to remove 15-203MR commenced pursuant to s13 ASIC Act or s247 Entities & schemes and Midland HWY Pty Ltd (Midland HWY) Albarran, as replacement administrators to Midland HWY, Messrs Ross and Albaran resigning as administrators of failed land banking NCCP Act) occurred in circumstances where many investors in administrators of Midland HWY. The Court company Hermitage Bendigo, who may also be creditors, were not given made orders by consent that the original notice of the first meeting of creditors. administrators, Messrs Martin and Crosbie be reinstated as administrators. Formal investigation (an investigation 13/09/2010 Funds management - Other Empower Invest Pty Ltd, Newcastle Palais A declaration that the companies had breached the Ordered that investors in a managed 10-188AD NSW Supreme Court finds 10-188AD commenced pursuant to s13 ASIC Act or s247 Holdings Pty Ltd enforceable undertaking provided to ASIC on 9 May 2008. investment scheme operated by Empower enforceable undertaking was breached NCCP Act) Invest Pty Ltd and Newcastle Palais Holdings If the companies do not comply with the order, ASIC will Pty Ltd (the companies) be repaid within 28 consider making an application to have liquidators appointed. days of the order following action taken by ASIC. Formal investigation (an investigation 11/12/2013 Credit - Credit intermediaries Hee Seng Lee False statements and false documents provided to banks to Criminal proceedings. 13-335MR Former mortgage broker convicted 13-335MR commenced pursuant to s13 ASIC Act or s247 secure home loan approvals. Defendant sentenced to 2 years of falsifying home loan applications NCCP Act) imprisonment to be served by way of an Intensive Correction Order (ICO) Formal investigation (an investigation 19/07/2010 Funds management - Other Brien Cornwell Breaches of an enforceable undertaking ASIC has started proceedings in the NSW AD10-157 ASIC seeks to enforce undertaking AD 10-157 commenced pursuant to s13 ASIC Act or s247 Supreme Court, seeking a declaration and NCCP Act) orders Formal investigation (an investigation 22/11/2017 Insurance - Sales practices AAMI Misleading advertising in relation to home insurance Administrative action. 17-398MRAAMI pays $43,200 for misleading 17-398MR commenced pursuant to s13 ASIC Act or s247 coverage. Ordered to pay penalty ($43,200) and amend advertising NCCP Act) its advertising. Formal investigation (an investigation 28/04/2016 Market participant & OTC issuers - All ABN AMRO Clearing Sydney Pty Ltd Failure to comply with the requirement to make enquiries Infringement notice issued - $45,000 16-126MR ABN AMRO Clearing Sydney Pty 16-126MR commenced pursuant to s13 ASIC Act or s247 through the ASX 24 Market message facility and wait the Ltd pays $45,000 infringement notice penalty NCCP Act) required period prior to entering orders for execution. Formal investigation (an investigation 2/09/2011 Financial Advisers - Other John Vafiadis Provided unlicensed financial advice to investors. Sentenced today to 6 months imprisonment. 11-196AD Former Hobart financial adviser 11-196AD commenced pursuant to s13 ASIC Act or s247 jailed on ASIC charges NCCP Act) Formal investigation (an investigation 30/10/2013 Market participant & OTC issuers - All ABN AMRO Clearing Sydney Pty Ltd Failure to ensure that its Automatated Order Processing (AOP) Infringement notice issues - $130,000 N/A MDP-circular- commenced pursuant to s13 ASIC Act or s247 system had in place organisational and technical resources, 2013-08-1 NCCP Act) which interfered with the efficiency and integrity of the Market. Formal investigation (an investigation 27/06/2013 Funds Management - Responsible Jeremy Reid Director of a responsible entity of a number of managed ASIC accepted an EU under which he will not 13-157MR Former Everest CEO provides two- 13-157MR commenced pursuant to s13 ASIC Act or s247 Entities & schemes investment schemes failed to disclosure to the RE company provide financial services, hold an AFS licence year enforceable undertaking to ASIC NCCP Act) that the company had received redemption enquiries from and be employed by a financial services members of the scheme around the same time as related company for 2 years. parties had submitted redemption requests, and other dishonest conduct relating to the redemption requests. Formal investigation (an investigation 28/10/2014 Market participant & OTC issuers - All ABN Amro Clearing Sydney Pty Ltd Failure to demonstrate prudent risk management procedures Infringement notice issued - $40,000 14-281MR ABN AMRO Clearing Sydney Pty 14-281MR commenced pursuant to s13 ASIC Act or s247 by not setting and documenting appropriate maximum price Ltd pays $40,000 infringement notice penalty NCCP Act) change limits as required. Formal investigation (an investigation 14/07/2015 Financial Advisers - Insurance advice Abhinav Gupta Dishonest conduct in relation to insurance, where client Administrative action. 15-184MR Former insurance advisor 15-184MR commenced pursuant to s13 ASIC Act or s247 details were used to enter into policies with authorisation and Permanent ban from financial services permanently banned NCCP Act) fictional policies were issued to receive volume bonus industry. commissions for the number of policies sold. Formal investigation (an investigation 26/05/2017 Funds Management - Responsible Michael King As the responsible entity for Premium Income Fund , MFS Disqualified from managing corporations for 17-157MRQueensland Supreme Court 17-157MR commenced pursuant to s13 ASIC Act or s247 Entities & schemes Investment Management Limited and its directors and 20 years, pay a pecuniary penalty of imposes penalties on dishonest MFS officers NCCP Act) officers, were required to operate the fund with care and $300,000, pay $177,017,084 compensation to and funds manager diligence and in the best interests of the members of the fund. PIF and 60% of ASIC's costs. In breach of their duties, the directors and officers of MFSIM attempted to justify the use of the misappropriated funds by falsifying and backdating company documents during the period between November 2007 and February 2008. RCD.0015.0003.0209 Public Results & Reports Formal investigation (an investigation 26/05/2017 Funds Management - Responsible Craig White As the responsible entity for Premium Income Fund , MFS Permanently disqualified from managing 17-157MRQueensland Supreme Court 17-157MR commenced pursuant to s13 ASIC Act or s247 Entities & schemes Investment Management Limited and its directors and corporations, pay a pecuniary penalty of imposes penalties on dishonest MFS officers NCCP Act) officers, were required to operate the fund with care and $650,000, pay $205,755,601 compensation to and funds manager diligence and in the best interests of the members of the fund. PIF and 70% of ASIC's costs. In breach of their duties, the directors and officers of MFSIM attempted to justify the use of the misappropriated funds by falsifying and backdating company documents during the period between November 2007 and February 2008. Formal investigation (an investigation 26/05/2017 Funds Management - Responsible Guy Hutchings As the responsible entity for Premium Income Fund , MFS Disqualified from managing corporations for 17-157MRQueensland Supreme Court 17-157MR commenced pursuant to s13 ASIC Act or s247 Entities & schemes Investment Management Limited and its directors and 25 years, pay a pecuniary penalty of imposes penalties on dishonest MFS officers NCCP Act) officers, were required to operate the fund with care and $350,000, pay $28,738,517 compensation to and funds manager diligence and in the best interests of the members of the fund. PIF and 70% of ASIC's costs. In breach of their duties, the directors and officers of MFSIM attempted to justify the use of the misappropriated funds by falsifying and backdating company documents during the period between November 2007 and February 2008. Formal investigation (an investigation 26/05/2017 Funds Management - Responsible David Anderson As the responsible entity for Premium Income Fund , MFS Disqualified from managing corporations for 17-157MRQueensland Supreme Court 17-157MR commenced pursuant to s13 ASIC Act or s247 Entities & schemes Investment Management Limited and its directors and 25 years, pay a pecuniary penalty of imposes penalties on dishonest MFS officers NCCP Act) officers,
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