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Showing 1181 - 1190 of 2080 results for "Australian Securities"

ASIC brings charges against Opes Prime chief

ELISE BURGESS  |  TUESDAY, 1 MAR 2011
... chief executive and director, Lirim (Laurie) Emini, has pleaded not guilty to 26 charges brought on by the Australian Securities and Investments Commission (ASIC). Now committed to stand trial, Emini, 47, is facing 22 charges relating to ASIC charges ...

Century Funds manager bid fails

ELISE BURGESS  |  TUESDAY, 1 MAR 2011
... unitholders late last year, with Century having focused on the trust's poor performance and the involvement of the Australian Securities and Investments Commission (ASIC) attempt to remove Opus' Financial Services licence in August 2010. "Under law the ...

ASIC bans former Storm adviser

ELISE BURGESS  |  FRIDAY, 25 FEB 2011
... Drummond, has been banned from providing financial services for four years following an investigation by the Australian Securities and Investments Commission (ASIC). Drummond was found guilty of making false and misleading statements and provided inappropriate ...

Poor advice fine to reach $200k

ELISE BURGESS  |  MONDAY, 21 FEB 2011
... found guilty of breaching the fiduciary code may also face up to five years imprisonment from charges by Australian Securities and Investments Commissions (ASIC). Previously, ASIC made a submission to the Parliamentary Joint Committee (PJC) on Corporations ...

ASIC rules to fix disputes faster

ELISE BURGESS  |  WEDNESDAY, 16 FEB 2011
The Australian Securities and Investments Commission (ASIC) has released new regulatory guidance that will help financial planners and insurers settle simple disputes with their clients. The guidance issued today will affect financial services licensees ...

Westpac Online launches intl CFDs

ELISE BURGESS  |  WEDNESDAY, 16 FEB 2011
... and interest incurred, a share CFD position can be held indefinitely," Staltari said. Yet actions from the Australian Securities and Investments Commissions (ASIC) in November last year have threatened the growth of the CFD. Australia's CFD market, reportedly ...

Century Funds vies to take manager role from Opus

ELISE BURGESS  |  TUESDAY, 15 FEB 2011
... trust for three years." McBain said that one thing concerning advisers about Opus 21 was the actions of Australian Securities and Investigation Commission (ASIC) to revoke the manager's Australian Financial Services license in August last year, only ...

ASX marks a decade of local ETFs

ELISE BURGESS  |  TUESDAY, 15 FEB 2011
Australian Securities Exchange (ASX) is set to host its first Australian exchange traded fund (ETF) conference in Sydney in June this year, ten years on since the first ETF was traded in Australia and at a time when the sector is enjoying explosive ...

ASIC retains key role as fin planning regulator: Shorten

ELISE BURGESS  |  FRIDAY, 11 FEB 2011
The Australian Securities and Investments Commission (ASIC) will retain its role as sole regulator for the financial planning industry but will work with the Tax Practitioners Board (TPB) to maintain standards in tax advice. The Treasury released its ...

Market Wrap - Morning

AAP  |  FRIDAY, 11 FEB 2011
... Corporation of New Zealand Ltd issue first half results. GGG Resources PLC and Western Manganese Ltd list on the Australian Securities Exchange. On Thursday, Australian shares rose slightly, taking the All Ordinaries over 5,000 points for the first time ...