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Showing 1241 - 1250 of 1371 results for "Corporations"

Former financial adviser guilty of 18 criminal charges

... dishonest conduct in relation to a financial product or service while carrying on a financial services business under the Corporations Act, in the Local Court of NSW. Higgins' plea comes after ASIC brought 21 charges of dishonest misconduct against him ...

AFSLs growing in number

... applications that do not include all the information requested will be considered incomplete and, as stipulated under the Corporations Act, we will not accept them for lodgement." Johnston also warns holders of AFSLs that the regulator will be conducting ...

Unsolicited offers by Ross Investments subjected to compliance checks

... Credit Ltd. The results of the investigation indicated to ASIC each of the offers contravened provisions under the Corporations Act, introduced in January 2004 to regulate unsolicited offers to purchase securities. The unsolicited offers made by Ross ...

Licensing relief for securitisation special purpose vehicles

... June 2005 for participants in the industry to comply with the new exemption as well as the AFSL requirements of the Corporations Act. The new exemption applies to those special purpose securitisation entities dealing in financial products either on the ...

ASIC's share buy-back proposal

... on its buy-back proposal in order to assist the regulator in developing its position on buy-back relief under the Corporations Act 2001. Under the proposal, ASIC seeks to set a maximum value for small parcels of shares that companies can buy back from ...

Guidance on SOAs from ASIC

... on Statements of Advice (SOAs) to help Australian financial services licensees fulfil their obligations under the Corporations Act 2001. The guide is aimed at addressing both content and presentation deficiencies discovered by ASIC after it reviewed ...

In the end it's all about relationships

... a relatively unsophisticated base the SME market's expectations are exceeding those of corporates," said Dowling. Corporations on the other hand now expect relationships that are advisory based from their bankers. Banks therefore have to approach relationships ...

UniSuper Trustee investigated by ASIC on disclosure and complaints handling

... an external compliance auditor to review its disclosure and complaints handling procedures under the SIS Act and Corporations Act 2001 and publish a disclosure statement on the fund's website. UniSuper will also provide its TI/PD members disclosure statements ...

The return of the Generator Income Notes

... Macquarie has mandated AXA investment management to manage the underlying portfolio. For investors who have concerns with corporations who may default within the portfolio AXA will have the ability to remove the company in order to protect the value ...

Managing director pleads guilty to fraud

... Waring has pleaded guilty in the Victorian County Court to five charges under the Crimes Act and two charges under the Corporations Act relating to his conduct as managing director of Corrpro Australia (Corrpro). The Commonwealth director of public prosecutions ...