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

Search Results

Showing 131 - 133 of 133 results for "Junior"

Cairns dealer faces six dishonesty charges

... charges from Australian Securities and Investments Commission (ASIC). The charges relate to her conduct when employed as a junior dealer in the Cairns office of ABN AMRO Morgans (AAM). Ms Phelps was charged with six counts of dishonestly applying $80,400 ...

Junior dealer permanently banned by ASIC

The Australian Securities and Investments Commission (ASIC) has permanently banned junior dealer Amber Joy Phelps, of Queensland, from acting as a representative of a dealer or a representative of an investment adviser. Ms Phelps was engaged as a junior ...

ASIC ordered to handover documents relating to One.Tel

... Investments Commission (ASIC) has been ordered to hand over the documents relating to its inquiries into the liquidator of failed junior telco One.Tel. The Administrative Appeals Tribunal has allowed for the subpoena of certain ASIC documents, in the ...