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

Search Results

Showing 1061 - 1070 of 1465 results for "Investments Commission"

Unlicensed financial adviser caught out

An Australian Securities and Investments Commission (ASIC) investigation has resulted in Donald Maxwell facing one charge of carrying on a financial services business without an Australian financial services license (AFSL). The regulator alleges Maxwell ...

ASIC provides guidance on superannuation calculators

The Australian Securities and Investments Commission (ASIC) will exempt providers of superannuation calculators from the need to hold a financial services licence or where the provider is already licensed from some of the conduct and disclosure provisions ...

Former financial adviser guilty of fraud

... for his own or his company's use or benefit. The charges are the result of an Australian Securities and Investments Commission (ASIC) investigation into Smith's activities as a financial adviser working for his own company Mossbrook Pty Ltd, trading ...

Former NAB currency options trader jailed

... been sentenced to 29 months imprisonment following three charges brought by the Australian Securities and Investments Commission (ASIC). The County Court of Victoria however reduced the sentence that would have otherwise been imposed by taking into account ...

ASIC provides guidance about Choice advice

The Australian Securities and Investments Commission (ASIC) has released a guide to help individuals and organisations, namely employers, who do not hold an Australian financial services licence (AFSL) and are likely to give advice to employees about ...

Watchdogs to recruit trustees for data collection

... assistance in collecting fees and charges data which will in turn be published by the Australian Securities and Investments Commission (ASIC). In June 2004, the then Minister for Revenue and Assistant Treasurer, Senator Helen Coonan stated that one of ...

Class action filed against retirement fund managers

AAP  |  FRIDAY, 10 JUN 2005
... retirement savings at stake," Goldman said. Smith and Rich gave undertakings to the Australian Securities and Investments Commission (ASIC) in 2003 that banned them from holding an Australian Financial Services Licence for 10 years. The undertakings ...

Interim relief for super fund product disclosure extended

... the Corporations Act 2001 until 30 June 2006. The development comes after the Australian Securities and Investments Commission (ASIC) decided to extend the relief provided from the Act under Class Order [CO 05/346] Deferral of s1012IA - amendment. Under ...

Charges against HIH dep chair dismissed

... payment to a company associated with him - Ashkirk Pty Limited. In a release the Australian Securities and Investments Commission (ASIC) said it understood the Commonwealth Director of Public Prosecutions (CDPP) would now consider whether to file an ...

AXA trustee director asked to show cause

AAP  |  MONDAY, 6 JUN 2005
... their role in underpaying former super members during 2002 and 2003. APRA and the Australian Securities and Investments Commission (ASIC) have accepted an enforceable undertaking by the AXA trustee adjusting upwards the super benefits of 1,200 current ...