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Showing 91 - 100 of 101 results for "ASIC of"

Adviser jailed for five and a half years

HAMISH MADDEN | FRIDAY, 9 FEB 2007

An unlicensed Queensland adviser has been jailed for five and a half years for fraud involving hundreds of thousands of dollars of client money. Shane Hoy was sentenced to five and a half years jail by the Brisbane District Court after an Australian ...

ASIC bans broker and adviser for life

HAMISH MADDEN | MONDAY, 14 AUG 2006

... convicted of misappropriating $160,000 of client funds in 2003. Both Carrington Insurance Brokers and ANZ Bank notified ASIC of the issue and full cooperated with the investigations "Members of the public have a right to expect that those who provide ...

ASIC charges four over margin lending scam

HAMISH MADDEN | WEDNESDAY, 7 JUN 2006

... ordered to surrender their passports and not be in the proximity of international points of departure. They must also notify ASIC of any plans to travel interstate.

Life insurers and 25 AFSL holders under ASIC microscope

... slackened off regarding their licence obligations, ASIC took it as a sign that the industry is taking its duty to notify ASIC of breaches seriously. It also attributed the higher number to the October 2004 publication of ASIC's informative guide to reporting ...

Unit pricing the right way

... unit pricing right is a fundamental role of organisations managing other people's money. "The joint review by APRA and ASIC of unit pricing has underscored the importance of having processes with integrity in place." Gilbert also said that companies ...

ING Australia to correct unit pricing errors

... conduct a review. Following the review, ING has voluntarily provided an Enforceable Undertaking to industry regulator ASIC of $14 million compensation to affected investors and around $10.5 million to be paid into the investment options of affected products. ...

ASIC bans SMSF adviser

... sale. ASIC has also sent out a list to 34 known clients requesting them to list their superannuation interests and advise ASIC of any amounts that still remain unpaid.

ASIC offers super switching guides

The Australian Investments and Securities Commission (ASIC) has released a guide aimed at ensuring financial advisers do not breach the Corporations Act 2001 when giving advice about switching superannuation funds in the new Choice environment. The ...

ASIC clarifies breach notification requirements of AFSLs

... breach notification requirements including examples of breaches, what to include in a breach report and how to inform ASIC of a breach. Holders of an AFSL are required by the Corporations Act 2001 to identify breaches or likely breaches they consider ...

Two Victorian accountants face fraud charges: ASIC

... 23 January 2004. Both defendants were bailed on their own undertaking, to reside at a specified address, and to advise ASIC of any change of address. Mr Treloar was further ordered not to approach any points of international departure and to surrender ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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