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Showing 1341 - 1350 of 1465 results for "Investments Commission"

AAT requests ASIC reinstate securities dealers' licences

... Tribunal (AAT) has upheld an appeal by Chapel Road Pty Ltd and required that the Australian Securities and Investments Commission (ASIC) reinstate its securities dealers' licences. The AAT has ordered the reinstatement of the licence subject to conditions ...

ASIC releases report on interim approach to mutual risk products regulation

The Australian Securities and Investments Commission (ASIC) today released a detailed report of the commission's interim approach towards the regulation of mutual risk products (MRPs). "In general, ASIC considers MRPs to be financial products for the ...

Adelaide company director pleads guilty to 23 charges of dishonesty

The Australian Securities and Investments Commission (ASIC) has announced today that Christopher James, an Adelaide company director, has pleaded guilty today to 23 charges of dishonesty and impropriety in carrying out his duties as a car dealer with ...

ASIC releases promissory note obligation FAQ

The Australian Securities and Investments Commission (ASIC) has released a FAQ to assist issuers of promissory notes in understanding their obligations under the Corporations Act. A promissory note is an unconditional promise by an issuer to pay an ...

ASIC given six months to dispose Flinders Diamonds shares

The Supreme Court of South Australia has told the Australian Securities and Investments Commission (ASIC) it has until six months after 20 February 2004, to dispose of over 22 million Flinders Diamonds Ltd shares vested in it. Today's order varies a ...

Adler committed to stand trial on securities charges

... been committed to stand trial on charges of manipulating the stock market, the Australian Securities and Investments Commission (ASIC) has announced. Adler appeared in Sydney's Downing Centre Local Court today on three counts of manipulating the stock ...

ASIC charges three Victorian men on 101 counts of deception, fraud

The Australian Securities and Investments Commission (ASIC) has announced today that three Victorian men have been charged with a total of 101 charges of deception, false accounting and breach of duty. The commission has charged Michael Damianos, Joseph ...

Ban on Nicholas Whitlam lifted

... Whitlam did vote and therefore was not in breach of the corporations law. The Australian Securities and Investments Commission (ASIC), which launched the earlier procedings, was ordered by the court to pay Mr Whitlam's legal costs. ASIC said it would ...

ASIC bans Sydney businessmen

The Australian Securities and Investments Commission (ASIC) has banned Jonathan Rabinovitz - a former authorised representative of Credit Suisse First Boston Australia Equities Limited (CSFB) - from the securities industry for 18 months. ASIC found ...

Former HIH executives win reduction in liquidator payout

... would need to agree on the calculations. "ASIC is pleased with today's result," Australian Securities and Investments Commission (ASIC) chairman David Knott said. 'The Court's decision to uphold the penalties ordered by Justice Santow confirms the seriousness ...