Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 1031 - 1040 of 2080 results for "Australian Securities"

ASIC closes in on SMSF advice firms

LINDA HAUSKEN  |  FRIDAY, 13 JUL 2012
The Australian Securities & Investments Commission has obtained interim court orders against two Queensland-based self-managed superannuation advice companies, following concerns that the firms have misled investors about their investments. The corporate ...

ASIC bans unlicensed Sydney adviser

LINDA HAUSKEN  |  THURSDAY, 12 JUL 2012
Australian Securities & Investments Commission has permanently banned Sydney based adviser Ropati Broederlow after it found he acted dishonestly and made false and misleading statements in relation to financial products. Broederlow was also operating ...

Highly educated SMSF investors prime fraud targets

MELANIE TIMBRELL  |  TUESDAY, 10 JUL 2012
... more than $113 million to serious and organised investment fraud in the last five years," Clare said. The Australian Securities and Investments Commission (ASIC), AUSTRAC and the Australian Tax Office are working with the ACC as part of Task Force Galilee ...

Austock sells PFM to Folkstone

BEN COLLINS  |  TUESDAY, 10 JUL 2012
... shares had been on hold pending the announcement of the sale of the property business to Folkstone. In an Australian Securities Exchange statement last week, Mariner said, "the trading halt and any potential sale of joint venture relating to any parts ...

ASIC uncovers investment scam

LINDA HAUSKEN  |  FRIDAY, 6 JUL 2012
The Australian Securities & Investments Commission has obtained court orders against the operators of a Gold Coast based unlicensed financial services business, following an investigation that resulted in 37 investors losing approximately $680,000. ...

Former adviser pleads guilty to dishonest dealings

LINDA HAUSKEN  |  TUESDAY, 3 JUL 2012
... Court to one count of deception and two counts of dishonest dealings with documents. The charges arose from Australian Securities & Investments Commission's (ASIC) investigation into his conduct as a financial adviser. According to ASIC, Carll deceived ...

Aust advisers to get dual Aust-NZ recognition

LINDA HAUSKEN  |  MONDAY, 2 JUL 2012
Australian Securities & Investments Commission has partnered with New Zealand's Financial Markets Authority to implement mutual recognition arrangements for Australian and New Zealand advisers. The Trans-Tasman mutual recognition arrangements will enable ...

National exam to raise quality of advice

LINDA HAUSKEN  |  FRIDAY, 29 JUN 2012
The Australian Securities & Investments Commission is set to consult with the advice industry on its proposal to develop and implement a national exam for advisers. As part of its next phase on its consultation proposal, Australian Securities & Investments ...

Adviser pleads guilty to dishonest conduct

LINDA HAUSKEN  |  WEDNESDAY, 27 JUN 2012
... a $22,000 fine and the second offence carries 10 years imprisonment or a $450,000 fine. In February, the Australian Securities & Investments Commission permanently banned Heathwood from providing financial services following the regulators investigation ...

Cold calling scammer gets 10 year ban

LINDA HAUSKEN  |  TUESDAY, 26 JUN 2012
Australian Securities & Investments Commission has banned City Index Australasia and its director, Blair Jason Travers, from the financial services industry for 10 years after being found guilty of a cold calling scam. Australian Securities & Investments ...