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Showing 1141 - 1150 of 2080 results for "Australian Securities"

JB Global submits to independent review

ALISON BEVEGE  |  TUESDAY, 19 JUL 2011
... Investment services firm JB 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 ...

AMP scales advice for affordability

ELISE BURGESS  |  MONDAY, 18 JUL 2011
... advisers. The My Money Choices model was developed in consultation with financial planners, customers and the Australian Securities and Investments Commission (ASIC). The new model will provide six different categories for people to receive specific ...

ASIC heats up insider trading investigations

ELISE BURGESS  |  THURSDAY, 14 JUL 2011
Australian Securities and Investments Commission (ASIC) has put the corporate advice world on high alert after releasing a report stating it has doubled its investigations into insider trading in the past year. ASIC took over the role as regulator from ...

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 ...

Westpoint directors face charges

ELISE BURGESS  |  MONDAY, 4 JUL 2011
... Norm Carey and Graeme Rundle are facing two criminal charges each as a result of an investigation by the Australian Securities and Investments Commission (ASIC), which alleges the two parties breached their duties under the Corporations Act. Westpoint ...

Landmark case against board duty failure

ELISE BURGESS  |  TUESDAY, 28 JUN 2011
... excuse for both executive and non-executive directors for failure to provide due diligence. In 2007, the Australian Securities and Investments Commission (ASIC) alleged that Centro's seven directors and former chief financial officer failed in due diligence ...

ASIC accepts EU from Kilara Financial Solutions

ELISE BURGESS  |  MONDAY, 27 JUN 2011
... independent compliance expert at its own cost after having switched clients to Trio Capital super products. The Australian Securities and Investments Commission (ASIC) has accepted the Enforcable Undertaking (EU) from Kilara after the regulator found ...

Masters of Financial Regulation on offer for first time

ALISON BEVEGE  |  MONDAY, 27 JUN 2011
... Centre, said the three-year 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 ...

ASX grants Chi-X access to TAS

ELISE BURGESS  |  TUESDAY, 21 JUN 2011
... longer period,"said Fowler. The ASX introduced TAS in March as a second equity trading market after the Australian Securities and Investments Commissions (ASIC) said Chi-X Global, a Tokyo-based market operator, was allowed to enter the Australian market ...

ASIC fee changes

ELISE BURGESS  |  MONDAY, 20 JUN 2011
Financial services companies will face higher fees from the Australian Securities and Investments Commissions (ASIC) from July 1 based on the March quarter Consumer Price Index. Starting in the new financial year, any application to register an Australian ...