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Showing 1051 - 1060 of 2080 results for "Australian Securities"

Commonwealth FP adviser banned

LINDA HAUSKEN  |  TUESDAY, 5 JUN 2012
Australian Securities & Investments Commission has accepted an enforceable undertaking from former Commonwealth Financial Planning Limited (CFPL) employee, Joe Chan, after he was found to have failed to meet adviser obligations. Australian Securities ...

ASIC highlights CFD compliance issues

BEN COLLINS  |  FRIDAY, 1 JUN 2012
The Australian Securities & Investments Commission review of client money handling and reconciliation practices has shown non-compliance by a number of issuers of over-the-counter contracts for difference and margin FX derivatives. The Australian Securities ...

ASIC sets sights on dark pools

MELANIE TIMBRELL  |  THURSDAY, 31 MAY 2012
The Australian Securities and Investments Commission is exploring a range of alternatives to encourage dark pool participants to first trade on the lit market, issuing draft rules in June to propose requirements for demonstrated price improvement in ...

Medcraft to chair IOSCO

MELANIE TIMBRELL  |  FRIDAY, 18 MAY 2012
... and supporting regulatory capacity among members, will be held concurrently with his chair duties at the Australian Securities and Investments Commission. The Board also appointed Dr. Vedat Akgiray, chairman of the Capital Markets Board (CMB) of Turkey ...

ASIC moves on insider trading

MELANIE TIMBRELL  |  WEDNESDAY, 16 MAY 2012
... gets 200 trade surveillance alerts indicating unusual trading activity each day. Deputy chairman of the Australian Securities and Investments Commission, Belinda Gibson, has said opportunities for insider trading are on the rise, although the regulator ...

FPA calls for improved education on advice

LINDA HAUSKEN  |  TUESDAY, 8 MAY 2012
... about financial advice and inclusion in the national curriculum. The Financial Planning Association (FPA), Australian Securities & Investments Commission (ASIC) and the Financial Ombudsman Service (FOS) hosted an educational workshop for advisers to ...

ASIC warns industry about misusing term independent

LINDA HAUSKEN  |  THURSDAY, 3 MAY 2012
... regulator, including publicly naming companies found to be in breach. In a recent surveillance project, Australian Securities and Investments Commission (ASIC) found 21 instances of insurance brokers and financial planners making statements about the ...

ASIC flags guidance on code approval

MELANIE TIMBRELL  |  WEDNESDAY, 2 MAY 2012
... on approval of codes in the advice sector, following changes to the FOFA Bill. Under recent changes, the Australian Securities and Investments Commission (ASIC) would have the ability to exempt advisers from the opt-in obligation if the regulator was ...

FPA calls on ASIC for clearer advice definitions

LINDA HAUSKEN  |  WEDNESDAY, 2 MAY 2012
The Financial Planning Association has called on The Australian Securities and Investments Commission for greater clarity and definitions of quality advice. Approximately 150 practising financial planners, along with licensees and compliance, legal ...

CPA responds to advice exemption

MELANIE TIMBRELL  |  TUESDAY, 1 MAY 2012
... representatives from the financial planning, tax and accounting bodies, the Tax Practitioners Board and the Australian Securities and Investments Commission. "This will allow for the details of the regulatory model to be settled and ensure resolution ...