Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 111 - 120 of 152 results for "Investment Commission"

Unlicensed adviser charged

MICHAEL HOBBS  |  MONDAY, 4 AUG 2008
... services without a licence and placed on a two year good behaviour bond after an Australian Securities and Investment Commission (ASIC) investigation. Tivay was convicted in the Sydney District Court following an ASIC inquiry that found he provided financial ...

FPA launches PI insurance for members

MICHAEL HOBBS  |  WEDNESDAY, 4 JUN 2008
... Jo-Anne Bloch, FPA chief executive, said 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.

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 ...

Reverse mortgages, three years on

... against their property, according to a new survey. The research was conducted by the Australian Securities Investment Commission (ASIC) as part of its ongoing monitoring of the sector. Since ASIC first surveyed the market in 2005, the industry has doubled ...

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 ...

Fincorp failure burns 8,000 investors

... "I did but I couldn't understand what he was talking about either." Ng wished the Australian Securities Investment Commission (ASIC) did something earlier but admitted she did not even know the regulator existed until it was mentioned in the meeting. ...