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Showing 1231 - 1240 of 2027 results for "Application"

Yellow Brick Road amends staff authorisations after ASIC concerns

MARK SMITH  |  FRIDAY, 26 JUL 2013
... authorised or licensed," said a statement issued by ASIC. "This helps to ensure that all the parties involved in the loan application process are identified, and also strengthens access to external dispute resolution. These are both important consumer ...

Grandfathering uncertainty already affecting businesses

LAURA MILLAN  |  MONDAY, 22 JUL 2013
... over the uncertainty around grandfathering and said that since July 1, 2013, one financial adviser had withdrawn the application to join Synchron and another one had put it on hold. "The grandfathering provision is now affecting every adviser in the ...

Submit your SMILEYS 2014 entry now

STAFF WRITER  |  MONDAY, 22 JUL 2013

Submissions open to FPA Best Practice Awards

LAURA MILLAN  |  MONDAY, 22 JUL 2013
... support to their local FPA Chapter," he said. All members of the FPA are eligible to enter the awards and can submit an application to Professional Best Practice Award, Best Practice Award and Community Service Best Practice Award. Nominations are also ...

ASIC seeks to wind up of LM mortgage income fund

MARK SMITH  |  FRIDAY, 19 JUL 2013
... Management Limited as responsible entity of the fund. LM Investment Management, the current responsible entity, opposed the application. Appearing in the Queensland Supreme Court this week, ASIC has sought orders for FMIF to be wound-up and PricewaterhouseCoopers ...

Storm claim unfair and baseless: CBA

LAURA MILLAN  |  MONDAY, 15 JUL 2013
... that the bank reached with the Australian Securities and Investments Commission (ASIC) last year. "CBA regards the application as unfair, fundamentally flawed, incompetent and baseless. It will be opposing it", the bank said. Storm Financial litigator ...

Perth broker gets 3 year ban for falsifying documents

LAURA MILLAN  |  FRIDAY, 12 JUL 2013
A Perth-based finance broker has been banned from financial services for three years after an investigation found he falsified documents to support the loan applications of his clients without their knowledge. Mathew David Schmelzkopf, of Kelmscott ...

Storm lawyers take ASIC and CBA to court over settlement

LAURA MILLAN  |  FRIDAY, 12 JUL 2013
... has been filed within the existing class action lawsuit against Commonwealth Bank that started in July 2010. "The application challenges ASIC's integrity in the performance of its role as a model litigant," Levitt said. ASIC's slow reaction on investigating ...

ASIC winds up insolvent derivatives issuer

MARK SMITH  |  TUESDAY, 9 JUL 2013
... Apex promoted trading in forex and contracts for difference (CFD) derivatives via its website. ASIC issued a Court application on 28 May 2013 seeking the company be wound up because it was advertising through its website that it had an Australian Financial ...

Adviser uses dead people to earn commission

JAMES FERNYHOUGH  |  FRIDAY, 5 JUL 2013
... exist, and a further three in the names of personal friends without their knowledge. As well as submitting the false application forms, Vyas kept up the act by composing emails supposedly from the deceased and fictitious insurance applicants. "ASIC is ...