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Showing 101 - 110 of 132 results for "Australian Securities and Investment Commission"

Research and rating firms welcome Govt review

MICHAEL HOBBS  |  FRIDAY, 23 MAY 2008
Research houses have welcomed a review by the Australian Securities and Investment Commission (ASIC) and Treasury into the role they, along with credit rating agencies (CRAs), played in the recent financial market turmoil and subsequent corporate collapses. ...

FPA to provide PI insurance to members

MICHAEL HOBBS  |  THURSDAY, 20 MAR 2008
... source and then negotiate individual deals." The FPA was prompted to act after the Australian Securities and Investment Commission (ASIC) released the Regulatory Guide 126 and the Financial Industry Complaints Scheme (FICS) increased monetary limits ...

ASIC zones in on accountants pushing SMSFs

MICHAEL HOBBS  |  FRIDAY, 14 MAR 2008
... clients without the proper license will be penalised accordingly, Louise DuPre, the Australian Securities and Investment Commission (ASIC) adviser said. Speaking at the SMSF Professionals Association of Australia (SPAA) conference, DuPre said ASIC was ...

Fraudulent advisers caught

RUTH LIEW  |  THURSDAY, 14 FEB 2008
Two Sydney men have been charged and found guilty by the Australian Securities and Investment Commissions (ASIC) for a combined 11 charges of fraud and delivering false financial advice. The two so called "advisers", Tunde Doja from Sydney and Mohammad ...

Adviser ban after Westpoint

MICHAEL HOBBS  |  FRIDAY, 2 NOV 2007
The Australian Securities and Investment Commission (ASIC) has banned NSW-based financial adviser, Andy Shen-En Chen, from providing financial advice for five years after recommending Westpoint to clients. An ASIC investigation found in between October ...

Liquidnet rollout gains ASIC approval

CHRIS NICHOLLS  |  MONDAY, 22 OCT 2007
Liquidnet Australia has received Australian Securities and Investment Commission (ASIC) approval to roll out phase one of its new software that will allow institutions to trade large blocks of equities directly and anonymously with each other. The software ...

ASIC pleased with insurance industry

The Australian Securities and Investment Commission (ASIC) has released a report examining the improvements home building insurers have made to their policies and whether they are providing customers with better access to information about the costs ...

Advice in 2020

ALEX DUNNIN  |  TUESDAY, 31 OCT 2006
... way to pay for advice based upon Medicare bulk billing." Darren Williams, the Australian Securities and Investment Commission's (ASIC) director of compliance for financial services, said, "Consumers would have learned to be more exacting. They will become ...

Accountants to investigate investment scheme

HAMISH MADDEN  |  MONDAY, 31 JUL 2006
... members of Intertax or their officers have breached the Corporations Act or the Australian Securities and Investment Commission Act, the keeping of proper books, the identities and nature of investors in the scheme, the use of funds invested in the scheme ...

ASIC and NZ corporate regulator sign cooperation deal

The Australian Securities and Investment Commission (ASIC) and the New Zealand Companies Office have signed a Memorandum of Understanding (MOU) to work towards greater regulatory cooperation between the two countries. The MOU was signed by the registrar ...