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Showing 1061 - 1070 of 2080 results for "Australian Securities"

ASIC obtains order banning derivatives trading director

BEN COLLINS  |  TUESDAY, 24 APR 2012
Australian Securities & Investments Commission action has resulted in Neil William King, formerly of Brighton, Victoria, being removed from the financial services industry for six years. In proceedings brought by Australian Securities & Investments ...

ASIC bans adviser following fraud conviction

BEN COLLINS  |  TUESDAY, 24 APR 2012
The Australian Securities & Investments Commission has permanently banned Christos Papaioannou, also known as Chris Pappas, from providing financial services following his conviction on fraud charges in the Magistrates Court of Victoria. On 29 March ...

ASIC permanently bans CFD dealer

BEN COLLINS  |  MONDAY, 23 APR 2012
... has permanently banned a former contracts for difference (CFD) dealer following an investigation. ASIC's (Australian Securities & Investment Commission) investigation focused on the conduct of Simon Marcus Gundry, of Mornington, and his online investment ...

ETPs have record start to the year

BEN COLLINS  |  FRIDAY, 20 APR 2012
... Australia, especially in the wake of the recent introduction of domestic fixed income ETFs now trading on the Australian Securities Exchange," said Oliver.

ASIC suspends practice licence

ELISE BURGESS  |  TUESDAY, 17 APR 2012
... suspended the licence of Australian Performance Financial Planning for three months for unknown reasons. The Australian Securities and Investments Commission (ASIC) suspended the Australian financial services licence of the Sydney-based planning practice ...

Social media trials in US continue

ELISE BURGESS  |  WEDNESDAY, 11 APR 2012
... in the industry, although regulation would also shape the way the medium would develop. In Australia, the Australian Securities and Investments Commission (ASIC) stepped back from its previous hard stance on social media, releasing guidelines on social ...

CFP adviser offers ASIC EU

ELISE BURGESS  |  THURSDAY, 5 APR 2012
... capacity for a minimum of five years after he failed to meet various obligations as a financial adviser. An Australian Securities and Investments Commission (ASIC) investigation into the conduct of several CFPL adviser actions revealed that between March ...

ASIC strikes against currency trader

MELANIE TIMBRELL  |  TUESDAY, 3 APR 2012
The Australian Securities and Investments Commission has launched strike-off action against Brisbane-based TRADERS SERVICES, formerly known as Your Trading Room. While the current strike-off action relates to unpaid licence fees, reports allege that ...

Flaws in advice system revealed by ASIC report

ELISE BURGESS  |  WEDNESDAY, 28 MAR 2012
... advice was 'good', has revealed flaws in our current advice system, according to some industry figures. The Australian Securities and Investments Commission (ASIC) released the full report of its retirement advice shadow shopping research, previously ...

ASIC appoints new commissioner

CLAIRE MCGREAL  |  FRIDAY, 23 MAR 2012
... has been appointed as a new ASIC commissioner on a three year term. Price has worked as a lawyer at the Australian Securities and Investments Commission (ASIC) for the past 12 years, holding a number of senior positions. He was involved in fundraising ...