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Showing 1261 - 1270 of 1465 results for "Investments Commission"

Rans former finance manager charged

A former finance manager has been charged following an investigation by the Australian Securities & Investments Commission (ASIC) into the collapse of Rans Management Group Pty Ltd. David Easden, of Victoria, faces a total of five charges under the ...

New licensing guide for AFS applicants: ASIC

The Australian Securities and Investments Commission (ASIC) today released a new licensing guide Meeting the financial requirements for your AFS licence: Compliance with Policy Statement 166, following requests for assistance from industry participants. ...

ASIC and FPA to help planners with written communication

... their perch as the professionals with the most unintelligible handwriting, as the Australian Securities and Investments Commission (ASIC) and the Financial Planning Association (FPA) today announced a joint program to help financial planners improve ...

ASX welcomes proposed fines

AAP  |  THURSDAY, 9 OCT 2003
... properly informed. Under proposed changes to corporate laws announced yesterday, the Australian Securities & Investments Commission (ASIC) would be able to issue on-the-spot fines of up to $100,000 to companies who breach their continuous disclosure ...

Costello unveils response to CLERP 9

... disclosure requirements have also been toughened, including provision for the Australian Securities and Investments Commission (ASIC) to issue fines of up to $100,000. Civil liability will also be extended to individuals involved with companies that ...

Federal Court continues NII proceedings following ASIC action

... Federal Court of Australia today gave directions in new proceedings brought by the Australian Securities and Investments Commission (ASIC) against Mr Henry Kaye and National Investment Institute Pty Ltd (NII). These proceedings arise from conduct by ...

Labor proposes stronger corporate disclosure measures

... market practices in the investment banking industry have been exposed by the Australian Securities and Investments Commission (ASIC) and there has been a failure to disclose price sensitive information in a timely manner. "The self-regulatory approach ...

ASIC bars former securities dealer from practicing financial services

... dealer or investment adviser representative, following an investigation by the Australian Securities and Investments Commission (ASIC). During its investigation, ASIC found that Mr Donohue had engaged in misleading and deceptive conduct, and had not ...

ASIC to hold investor forums in Australia

... successful conviction of former Adelaide financial adviser Hamish McLachlan, the Australian Securities and Investments Commission (ASIC) is to hold a series of free investor seminars in South Australia later this month and in November. According to ASIC ...

Wattle Group saga claims yet another former adviser

... today sentenced in the District Court in Adelaide on 62 charges brought by the Australian Securities and Investments Commission (ASIC). Ian William Snook was sentenced to two years imprisonment, but upon entering into a $1,000 good behaviour bond, was ...