Australia's financial services regulator has broadened a probe into miner TerraCom and assayer ALS Ltd over inflating coal quality in export documentation, information provided to an Australian Senate committee showed.
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Sydney-based former financial adviser, Lisa Lee, has been banned from providing financial services for eight years by the Australian Securities Investments Commission (ASIC) for falsifying documents.
ASIC found when Lee was a representative of ANZ, she falsely witnessed binding nomination of beneficiary forms for 17 clients, backdated documents, and falsified a client’s signature on documents.
Lee was a representative of ANZ between 5 June, 2010, and 15 June, 2017, and then worked at Infocus Securities Australia between 19 September, 2017, and 19 November, 2018.
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