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Showing 121 - 129 of 129 results for "ASIC for"

ASIC moves against misleading advertising

ASIC has acted against misleading advertising by accepting an enforceable undertaking from Mortgage Point in response to the regulators concerns in 2001 that the mortgage broker included misleading statements in its promotional brochures. Brochures ...

Vamos resigns from ASIC

... Investments Commission (ASIC) director of FSR licensing Pauline Vamos has resigned from the regulator. She worked at ASIC for six years. Vamos said she intended to start up her own consultancy business, Vamos Consulting, something she had been considering ...

New regime for financial services, but unresolved issues remain

AAP | THURSDAY, 11 MAR 2004

... associations fully support the Act and believe it will lead to higher standards in financial services, many are still lobbying ASIC for clarification on certain aspects of the law.

ASIC bans Darling Point financial adviser

The Australian Securities and Investments Commission (ASIC) has banned Martin Lloyd-Cocks, a financial adviser from Darling Point NSW, from acting as a representative of a securities dealer or investment adviser for five years. Mr Lloyd-Cocks was an ...

ASIC announces probe into Offset Alpine Printing

... Offset Alpine was the subject of a successful takeover bid. The Australian Stock Exchange referred the transaction to ASIC for investigation. At the time, the Federal Court ruled Swiss laws prevented ASIC and the Australian Taxation Office (ATO) from ...

ASIC re-opens probe into Offset Alpine Printing Group

ASIC deals out permanent ban to Brisbane financial planner

The Australian Securities and Investments Commission (ASIC) has permanently banned Harvey Baigent - a Brisbane financial planner - from acting as a representative of a dealer or investment adviser. ASIC commenced an investigation of Mr Baigent following ...

ASIC clarifies conduct and disclosure obligations for financial planners

... outlined Policy Statement 175 Licensing: Financial product advisers - conduct and disclosure that provides guidance from ASIC for advisers on their conduct and disclosure obligations. The commission was clear to point out that PS 175 did not constitute ...

Disqualified Sydney businessman sentenced to jail

... charges resulting from an ASIC investigation into the property development projects. No prospectus was ever lodged with ASIC for any of the development projects, and the investors involved subsequently lost most of their money. According to ASIC estimates ...

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Insignia research, retirement income head to depart

JAMIE WILLIAMSON

Insignia Financial has confirmed its head of research and retirement income is set to leave the business as part of an ongoing wider change.

Geopolitical risks push APAC family office allocations locally

KARREN VERGARA

Geopolitical risks are dictating how family offices in the Asia Pacific invest as more intend to shift asset allocations to their home regions, according to UBS.

New platform launches for high-net-worth families

ELIZA BAVIN

The new wealthtech platform aims to assist in intergenerational wealth transfers.

SEC approves eight Ethereum ETFs

ELIZA BAVIN

The SEC has given it's stamp of approval for Ethereum ETFs, including for BlackRock, Fidelity and VanEck among others.

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Matt Gaden

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