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Showing 91 - 100 of 106 results for "Declarations"

ASIC bans Oxford Investments

MICHAEL HOBBS  |  WEDNESDAY, 2 JUL 2008
... breached the ASIC Act 2001 between April 2003 and December 2004. Investors that attended the course can use the Court's declarations to assist their compensation claims.

Few takers for independent tag: FSI

RUTH LIEW  |  THURSDAY, 1 MAY 2008
... Consulting claims that fewer than 12 advisers have been identified as "independent, unbiased or impartial". These declarations of independence are based on not receiving any commissions apart from any that are rebated in full to clients, nor any forms ...

ASIC closes Risqy Forex scheme

RUTH LIEW  |  MONDAY, 3 MAR 2008
... officially declared last Friday that the scheme was an unregistered management investment scheme, and obtained further declarations that Risqy carried on business in Australia without being registered to do so. ASIC executive director of enforcement ...

Futures contracts director caught without AFSL

... Moore (the defendants) from providing financial product advice on derivatives trading and strategies. ASIC is seeking declarations that the defendants provided financial product advice during training courses in trading futures contracts on the Sydney ...

High net worth tax crack down

KATE HAGE  |  FRIDAY, 18 AUG 2006
... avoid or minimise capital gains tax. Under the second year of Project Wickenby 6,000 high risk individual investor's declarations will be checked to see if they have declared capital gains while 250,000 individuals can expect to be contacted about discrepancies ...

Two directors cop ASIC bans

HAMISH MADDEN  |  MONDAY, 19 JUN 2006
... unregistered managed investment scheme, Investors Choice Fund. The court orders banning Forshaw and Bottari followed earlier declarations in Melbourne's Federal Court against Royal Parade Properties (formerly known as Investors Choice), Vitalskill Management ...

ASIC pursues Citigroup for alleged insider trading

... failures, unconscionable conduct and deliberate trading on insider information. ASIC is seeking from the Federal Court declarations confirming the breach, orders requiring rectification of procedural shortcomings and failures and orders requiring Citigroup ...

ASIC bans SMSF adviser

... Superannuation Retrieval Services (SRS) have been restrained by ASIC from providing superannuation services. ASIC issued declarations against Manito and injunctions permanently restraining Manito and Preston in December 2004. The regulator issues further ...

Third operator of early release super scheme punished

... permanent injunctions awarded to the regulator for his involvement in the illegitimate schemes and also consented to declarations of carrying on a financial services business while not holding an Australian financial services licence. ASIC's permanent ...

ASIC acts against wealth management promoter

... Seminars currently scheduled on the Gold Coast for May this year have been subsequently cancelled. ASIC will also seek declarations from the Federal Court that both McIntyre and 21st Century Academy have contravened the Corporations Act 2001.

Editor's Choice

Australian Retirement Trust people chief to depart

ELIZABETH FRY
Australian Retirement Trust has confirmed the departure of chief people officer Helen Jackson, who will leave at the end of the financial year.

SSGA loses $2.4bn in two months

KARREN VERGARA
State Street Global Advisors (SSGA) suffered $2.4 billion in net outflows over the last two months of 2023, the majority of which hit its Australian and international equities products.

AFCA seeks industry feedback on approaches

ELIZA BAVIN
The financial complaints authority is asking the industry for feedback on how it approaches issues and reaches decisions.

Apex, ACA partner to broaden client services

ANDREW MCKEAN
Apex Group and ACA Group have formed a partnership to offer their clients a wider range of services.

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