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Showing 1241 - 1250 of 1465 results for "Investments Commission"

Zurich receives last of eight AFS licenses

... received the last of its eight Australian Financial Services licenses from the Australian Securities and Investments Commission (ASIC). The licences cover ZSFA businesses across managed investments, superannuation, life risk insurance, general insurance ...

ASIC annual report highlights record enforcement action

The Australian Securities and Investments Commission (ASIC) has reiterated its role in its 2002-03 annual report tabled in Federal Parliament this week, stressing that enforcement is integral to its regulatory function. In the report, ASIC chairman ...

Cairns dealer faces six dishonesty charges

... appeared in the Cairns Magistrates Court to answer six dishonesty charges from Australian Securities and Investments Commission (ASIC). The charges relate to her conduct when employed as a junior dealer in the Cairns office of ABN AMRO Morgans (AAM). ...

ASIC made record enforcements in 2003-4: report

AAP  |  THURSDAY, 6 NOV 2003
... in 2002-03, including stockbroker Rene Rivkin, its annual report reveals. The Australian Securities and Investments Commission (ASIC), said it achieved record "enforcement outcomes", including 29 criminals jailed for fraud, criminal breach of duties ...

Mortgage broker to compensate former clients

... pay compensation to past clients, following enforceable undertakings won by the Australian Securities and Investments Commission (ASIC). An earlier investigation by ASIC found Express Loans may have misled borrowers and issuers of deposit bonds through ...

ASIC clears way for new exchanges to set up in Australia

The Australian Securities and Investments Commission (ASIC) has further fleshed out the regulatory regime covering foreign providers of financial services, this week releasing a new policy statement (PS) for operators of exchanges and financial markets. ...

ASIC announces probe into Offset Alpine Printing

The Australian Securities and Investments Commission (ASIC) has been quick to act on a report in the Australian Financial Review outlining the sale of a parcel of shares in Offset Alpine Printing, with the securities watchdog today announcing a formal ...

ASIC re-opens probe into Offset Alpine Printing Group

The Australian Securities and Investments Commission (ASIC) will commission a specialist team to review a report in the Australian Financial Review on the Offset Alpine Printing Group. The report identified flamboyant stockbroker Rene Rivkin, former ...

Former Tasmanian director sentenced to three years jail

... against Mark Anthony Johnstone of Tamworth, NSW, following an investigation by the Australian Securities and Investments Commission (ASIC) into the failure of DJF Pty Ltd, which traded as MI Machinery at Youngtown in Launceston, Tasmania. Mr Johnstone ...

Victorian securities dealer banned:ASIC

... representative of a dealer or an investment adviser, following an investigation by the Australian Securities and Investments Commission (ASIC). Michael Kwong of Malvern East, Victoria, was an authorised representative of Smith Barney Citigroup Australia ...