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Showing 1101 - 1110 of 1465 results for "Investments Commission"

Assirt conflict policy pushes for full upfront fees

... at the outset of the ratings process. The policy has been released after the Australian Securities and Investments Commission (ASIC) released Policy Statement 181 in August dealing with conflicts of interest which was also covered by the CLERP 9 legislation. ...

James Hardie CEO resigns

AAP  |  FRIDAY, 22 OCT 2004
... The conduct of both Mr Macdonald and Mr Shafron is being investigated by the Australian Securities and Investments Commission (ASIC). An inquiry into James Hardie's handling of asbestos compensation found Mr Macdonald appeared to have broken the corporations ...

Scott moves to Tyndall

... fund manager. Prior to these roles Mr Scott was a compliance analyst with the Australian Securities and Investments Commission.

ASIC extends transitional position on dollar disclosure

The Australian Securities and Investments Commission will extend the date for compliance with the dollar disclosure regime from 1 January 2005 to 1 March 2005. The regulator recognises the need to provide industry with sufficient time to implement proper ...

Federal Court makes orders in relation to Primelife Investment schemes

Following orders by the Australian Securities and Investments Commission, the Federal Court in Melbourne has made orders to appoint an investigative accountant to review the affairs of 37 investment schemes connected with Primelife Corporation Limited ...

ASIC rules out exemptions to Statements of Advice

The Australian Securities and Investments Commission (ASIC) has refused to provide any exemption to financial advisers from providing a Statement of Advice (SoA) in time critical situations following a submission from the Financial Planning Association. ...

ASIC bans options broker and adviser for 5 years

AAP  |  FRIDAY, 1 OCT 2004
... over a failed trading strategy that cost nearly 100 clients $15 million. The Australian Securities and Investments Commission (ASIC) on Thursday said Neville Martin Dunne of Brisbane, a former representative of Performance Plus Funds Management, had ...

New challenges keep coming, says ASIC chairman

AAP  |  WEDNESDAY, 29 SEP 2004
... overseeing companies as they battle to meet their new reporting obligations. Australian Securities and Investments Commission (ASIC) chairman Jeff Lucy said several new challenges were affecting Australian companies and would require careful assessment ...

WA finance broker found guilty of misleading statements

... the time was building a caravan park in South Hedland, Western Australia. The Australian Securities and Investments Commission (ASIC) alleged the prospectus contained two misleading statements - that at January 31, 2000, $2.2 million had been raised ...

ASIC begins investigation into James Hardie

AAP  |  WEDNESDAY, 22 SEP 2004
... investigation into possible breaches of the law by James Hardie Industries. The Australian Securities and Investments Commission's investigation comes one day after the findings of a six-month inquiry into James Hardie's handling of asbestos compensation. ...