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Showing 1301 - 1306 of 1306 results for "Request"

Former CNAL director added to APRA's banned list

Former Commercial Nominees Ltd (CNAL) of Australia director Peter Cain has been disqualified from acting as a responsible officer of a superannuation trustee, investment manager or custodian, the Australian Prudential and Regulation Authority (APRA) ...

ASIC releases results of accounting surveillance

The Australian Securities and Investments Commission (ASIC) has released the second stage results of its accounting surveillance project that begun in July 2002. The project reviewed the audited full-year financial reports of more than 1000 listed companies ...

Another adviser pleads guilty to ASIC charges

Paul Cully Former South Australia financial adviser David Mudge has pleaded guilty to a charge of dishonestly coaxing an elderly client to transfer money into his account or those held by his own company, the Australian Securities and Investments Commission ...

ASIC sends WA financial adviser back to school

John Fernando The Australian Securities and Investments Commission (ASIC) today accepted an enforceable undertaking from Jean-Jacques Blandin, formerly of Australian Financial Securities (AFS), that he will not act as a financial representative unless ...

Five-year ban for securities adviser

... strategy he recommended. Jungstedt was banned by the ASIC in February 2000 and Epic Securities' licence was revoked at their request.

Commonwealth draws fire of Australian Shareholders Association

... disclosing all accrued termination payments for senior executives in their annual reports. This has been a longstanding request by ASA to CBA. The ASA also said that the timing for the payout could not have been worse given that CFS' funds were not performing ...