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Showing 1121 - 1130 of 1465 results for "Investments Commission"

AFS licensees pass ASIC's spot check

The Australian Securities and Investments Commission (ASIC) on Monday released its findings on a program of 353 randomly conducted verification visits on Australian financial services (AFS) licensees. Conducted between December 2002 and July 2004, the ...

ASIC publishes policy paper on conflict of interest in financial services

The Australian Securities and Investments Commission (ASIC) on Monday published a new policy statement on how it expects financial services licensees to manage conflicts of interest. \"The CLERP 9 legislation imposes, for the first time, a direct and ...

ASIC flexes civil powers

The Australian Securities and Investments Commission (ASIC) has for the first time filed civil proceedings alleging insider trading against John Petsa and March Milot. "This is the first time ASIC has taken civil penalty proceedings for a breach of ...

ASIC files proceedings against former ANZ bank employee, client

... client, on allegations that they engaged in insider trading in January 2003. The Australian Securities and Investments Commission (ASIC) is taking action in the Federal Court in Melbourne against John Petsas and Marc Miot, following a referral from the ...

ASIC places permanent ban on Rivkin

... Rivkin has been permanently banned from providing any financial services by the Australian Securities and Investments Commission (ASIC). "ASIC found that, due to Mr Rivkin\'s current medical illness supported by medical evidence, he is unlikely to have ...

Shareholders have the power; ASIC

In a clarifying statement issued today, the Australian Securities and Investments Commission (ASIC) confirmed only shareholders of a public company have the power to remove company directors. ASIC referred to The Corporations Act 2001 citing only the ...

Private investors could be involved in Tattersal's float: report

AAP  |  TUESDAY, 17 AUG 2004
... well as institutions. Tattersall\'s is due to lodge a float prospectus with the Australian Securities and Investments Commission (ASIC) on October 8.

Kathryn Greiner appointed chair-elect of the FPA

... follows a number of internal appointments at the FPA, the latest being former Australian Securities and Investments Commission (ASIC) and Australian Competition and Consumer Commission staffer Paul Shevtzoff. Shevtzoff joined the FPA on 9 August as manager ...

NAB adds four non-executive directors

AAP  |  FRIDAY, 13 AUG 2004
... Group. Jillian Segal is a lawyer and regulator and was the deputy chairman of the Australian Securities and Investments Commission from 2002 to 2004. The retirements and new appointments will mean that NAB will have 12 board members, comprising three ...

ASIC commences proceedings against Sydney firm, broker

AAP  |  FRIDAY, 13 AUG 2004
... against a Sydney-based finance and insurance firm and one of its brokers. The Australian Securities and Investments Commission (ASIC) today said it was taking action against Abbotsford firm Marantmar Finance and Insurance and Marcus Anthony, in relation ...