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Showing 1071 - 1080 of 2080 results for "Australian Securities"

ASIC, FPA, and FOS address shadow shopper report

ELISE BURGESS  |  WEDNESDAY, 21 MAR 2012
... of educational workshops for advisers to combat issues found in an upcoming ASIC Shadow Shop survey. The Australian Securities and Investments Commission (ASIC) revealed in February that conflict of interest has again emerged as a problem for consumers ...

AAT confirms ASIC planner ban

ELISE BURGESS  |  FRIDAY, 16 MAR 2012
... providing financial services for seven years. Nguyen of Dulwich Hill, New South Wales, was disqualified by the Australian Securities and Investments Commission (ASIC) in March 2011 after it found he failed to comply with financial services laws during ...

PIS names new risk manager

ELISE BURGESS  |  THURSDAY, 15 MAR 2012
... continuous improvement processes. PIS in currently in its final phase of an enforceable undertaking with the Australian Securities and Investments Commission (ASIC) after the regulator raised concerns PIS was not meeting its legal obligations as a financial ...

BetaShares launches High Interest cash ETF

CLAIRE MCGREAL  |  MONDAY, 12 MAR 2012
BetaShares has launched the first in a range of cash exchange traded funds due on the Australian Securities Exchange in the coming weeks. The Australian High Interest Cash exchange traded fund (ETF) will hold Australian dollars in bank deposit accounts ...

Tech providers relish multi-exchange environment

MELANIE TIMBRELL  |  WEDNESDAY, 7 MAR 2012
... connectivity to two critical exchanges as well as solutions to help automate trading and route orders." The Australian Securities and Investments Commission is requiring participants to comply with their best executions obligations by the end of October ...

Adviser banned for chasing commissions

ELISE BURGESS  |  WEDNESDAY, 7 MAR 2012
... of GuardianFP. She provided financial advice and arranged life insurance. During an investigation by the Australian Securities and Investments Commission (ASIC), it found Heathwood falsified 65 insurance policies between 2010 and 2011 for the purpose ...

FOFA provisions will go ahead: PJC

ELISE BURGESS  |  THURSDAY, 1 MAR 2012
... to better explain the annual fee disclosure obligations for existing retail clients. On the role of the Australian Securities and Investments Commission (ASIC), the report highlighted a number of areas where the regulator would increase its monitoring ...

ASIC wants more pay disclosure

MELANIE TIMBRELL  |  THURSDAY, 1 MAR 2012
Companies need to up their game on executive and director remuneration disclosure, according to the Australian Securities and Investments Commission. A review of 50 remuneration reports from 300 of Australia's largest companies for the year ended June ...

OnePath changes in wake of UBS INGIM purchase

CLAIRE MCGREAL  |  MONDAY, 27 FEB 2012
... asset classes. These include diversified fixed interest, small companies, global property securities and Australian securities respectively. Former ING IM single manager diversified funds have also developed into OnePath multi-manger funds. "OnePath ...

ASIC steps back from social media hard-line

MELANIE TIMBRELL  |  MONDAY, 27 FEB 2012
The new advertising guidelines from the Australian Securities & Investments Commission take a step back from the original consultation paper, which outlined an expectation that online advertisements and social media posts should be self-contained. Policy ...