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Showing 1441 - 1450 of 1670 results for "Register"

ASIC slaps six year ban for MIS fraud

ASIC RELEASE  |  MONDAY, 24 AUG 2009
Mum-and-dad investors in South Australia have been caught out in a $15.2 million fraud carried out by yet another finance company operating without a financial services licence. ASIC has banned Jonathan Peter West, of Athelstone, South Australia from ...

Westpoint auditors get just desserts

ASIC RELEASE  |  TUESDAY, 18 AUG 2009
Three KPMG partners have been banned as registered auditors for periods ranging from nine to 24 months following ASIC's crackdown on their roles in the Westpoint collapse. ASIC has accepted enforceable undertakings (EUs) from three partners of KPMG's ...

Govt aids anti-predatory lending laws

GOVT ANNOUNCEMENT  |  MONDAY, 17 AUG 2009
Finance brokers and certains lenders will need to comply with new responsible lending laws a year earlier than planned under the updated timetable of the government's proposed consumer credit reforms. Under the new deadlines, the responsible lending ...

ASIC targets another MIS scheme

ASIC RELEASE  |  THURSDAY, 13 AUG 2009
ASIC has commenced civil proceedings to wind up and appoint a liquidator to Finchley Central Funds Management - the responsible entity of managed investment scheme, Finchley Development Capital Funds. ASIC is seeking orders from the Federal Court of ...

CBA extends Storm payments suspension

COMPANY RELEASE  |  MONDAY, 3 AUG 2009
... dispute by giving the affected customer access to former High Court judge, Ian Callinan. The bank said that customers who register for the scheme will have their interest payments suspended until their participation in the scheme ends, either because ...

Fin services back associations

MICHAEL HOBBS  |  MONDAY, 6 JUL 2009
Financial services institutions and professionals continue to throw their support behind associations and industry bodies such as the FPA, ASFA and SPAA despite pressure to cut costs. The Financial Planning Association (FPA), Association of Superannuation ...

City Pacific still in RE bind

COMPANY RELEASE  |  WEDNESDAY, 1 JUL 2009
BalmainTRILOGY has lodged a notice with ASIC under the Corporations Act requiring the regulator to register Trilogy as the new responsible entity of the City Pacific First Mortgage Fund. Before the unitholders meeting last Thursday (June 25), City Pacific ...

Pres Obama proposes sweeping regulatory reforms

ALEX DUNNIN  |  THURSDAY, 18 JUN 2009
... equity funds and venture capital funds) whose assets under management exceed some modest threshold should be required to register with the Securities and Exchange Commission (SEC) under the Investment Advisers Act. "The advisers should be required to ...

China's SWF on hiring spree

RUTH LIEW  |  WEDNESDAY, 17 JUN 2009
The world's ninth largest sovereign wealth fund, the $240 billion China Investment Corporation, is embarking on a recruitment spree to boost its investment teams. A statement released yesterday on the CIC website noted that they were seeking "qualified ...

Fee disclosure for intermediaries: CalPERS

RUTH LIEW  |  MONDAY, 11 MAY 2009
... pay them, the services performed, and other information about their engagement. Placement agents are also required to register as broker-dealers with the U.S. Securities and Exchange Commission (SEC) through the Financial Industry Regulatory Authority ...