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Showing 91 - 100 of 156 results for "Investment Commission"

ASIC appoints two new commissioners

CLAIRE MCGREAL  |  FRIDAY, 21 OCT 2011
... commissioners, with another departing when his term is up in December. Peter Kell joins the Australian Securities and Investment Commission (ASIC) on a five-year term from November, while Greg Tanzer has been appointed for four years from January. Michael ...

Second tranche of FOFA well received: industry

ELISE BURGESS  |  THURSDAY, 29 SEP 2011
The second tranche of FOFA reforms has earned a warm, albeit subdued, welcome from the industry with little or no reaction from large dealer groups but solid support from industry associations. In response to the Future of Financial Advice (FOFA) reforms ...

Fraud firm masquerades as financial advisors: ASIC alert

ALISON BEVEGE  |  THURSDAY, 18 AUG 2011
The Australian Securities and Investment Commission (ASIC) has issued a warning on a fraudulent financial advisory firm. ASIC has shut down Frontline Financial Planning's website which posted the Australian company number and Australian financial services ...

Hedge fund forum delivers expert speakers next month

ALISON BEVEGE  |  WEDNESDAY, 17 AUG 2011
... the Australian Hedge Fund Forum next month. The keynote address will be given by Australian Securities and Investment Commission chairman Greg Medcraft, detailing forthcoming regulation and his vision for the hedge fund industry. Famous speakers include ...

One year jail for Opes Prime directors

ELISE BURGESS  |  THURSDAY, 28 JUL 2011
... Lirim (Laurie) Emini and Anthony Blumberg were charged following an extensive Australian Securities and Investment Commission (ASIC) investigation. Emini, the former chief executive, received a 24 months imprisonment sentence, with orders to 12 months ...

JB Global submits to independent review

ALISON BEVEGE  |  TUESDAY, 19 JUL 2011
... Global will submit to an independent review of 100 personal advice files after the Australian Securities and Investment Commission imposed new licence conditions on the company. JB Global will also offer remediation to any clients who may have received ...

ASIC warns it will act on rogue ETF pricing

ALISON BEVEGE  |  WEDNESDAY, 13 JUL 2011
The Australian Securities and Investment Commission today warned that it would take action if exchange-traded fund prices interfere with market integrity by being too removed from the underlying index. The trading watchdog flagged more than 23,000 general ...

Masters of Financial Regulation on offer for first time

ALISON BEVEGE  |  MONDAY, 27 JUN 2011
... course would be relevant for those working in the regulatory industry such as the Australian Securities and Investment Commission. The compliance departments of major banks and accounting firms are also expected to be interested in the course which investigates ...

Former Astarra investment manager pleads guilty

ELISE BURGESS  |  MONDAY, 7 FEB 2011
... about the value of investments made by the ASF. Following an investigation by Australian Securities and Investment Commission (ASIC) into his behaviour from 2005 and 2009, it was alleged Richard and AAM received in excess of $6.4 million in undisclosed ...

ATO tackles SMSF fraud risk

ELISE BURGESS  |  FRIDAY, 17 SEP 2010
... online tools we can check whether it is a regulated fund or not," said Brown. Australian Securities and Investment Commission (ASIC) clearly states that it is the trustee's responsibility to be aware and make informed decisions in most cases of SMSF ...