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Showing 1571 - 1580 of 2080 results for "Australian Securities"

ASIC bans ex-Genesys adviser

The Australian Securities and Investments Commission (ASIC) has banned financial adviser, Mark Leigh Clifton, a former authorised representative of Genesys Wealth Advisers, from providing financial services for 10 years. Clifton was a NSW-based authorised ...

Another HIH exec faces the music

HAMISH MADDEN  |  THURSDAY, 7 SEP 2006
... Frederick Lo was ordered to appear in Sydney's Downing Centre Local Court to face four charges brought after an Australian Securities and Investments Commission (ASIC) investigation into the circumstances of the collapse, which has so far seen company ...

Financial mentor to be wound up

HAMISH MADDEN  |  THURSDAY, 31 AUG 2006
A Brisbane financial mentoring operation will be wound up after The Australian Securities and Investments Commission (ASIC) obtained court orders to proceed with liquidation. The Supreme Court of Queensland also ruled that director Andrew Carr had carried ...

AMP FP patches up the cracks

HAMISH MADDEN  |  WEDNESDAY, 30 AUG 2006
... sound. AMP FP hit the headlines on 26 July after entering into an enforceable undertaking (EU) with the Australian Securities and Investments Commission (ASIC). The EU centred around perceived shortcomings in super switching advice offered by some AMP ...

Jailed super fraudsters forfeit nearly $6m

HAMISH MADDEN  |  WEDNESDAY, 30 AUG 2006
... an illegal scheme, have been ordered to forfeit millions of dollars in holdings and assets. Following an Australian Securities and Investments Commission (ASIC) investigation into the early release of superannuation scheme, Andre Michalik and his son ...

SEC hits fraudulent insurer with $790m penalty

... Securities and Exchange Commission (SEC), the US equivalent to Australia's financial services regulator the Australian Securities and Investments Commission (ASIC), has ordered life insurer Prudential Equity Group (PEG) to pay $790 million (US$600 million) ...

Scam targets ethnic community

HAMISH MADDEN  |  FRIDAY, 25 AUG 2006
The Australian Securities and Investments Commission (ASIC) has warned investors to be wary of investment schemes targeted at specific communities after it acted to shut down a scam targeting the Australian Chinese community. ASIC investigations uncovered ...

Advisor charged with $1.5m fraud

HAMISH MADDEN  |  MONDAY, 21 AUG 2006
An advisor has been charged after an Australian Securities and Investments Commission (ASIC) investigation found that he allegedly defrauded almost $1.5 million from investors. Financial advisor Antonio Pisano appeared in Armadale Magistrates' Court ...

Big tax hits drive after-tax reporting

KATE HAGE  |  FRIDAY, 18 AUG 2006
... fine, as long as the adviser and client understand that's what the product does," said Bowerman. While the Australian Securities and Investments Commission (ASIC) has not taken a particular stance on after-tax reporting, the regulator's equivalent in ...

AustralianSuper moniker confusion

... you would have done fact checking, but then maybe they were aware of it anyway." A spokesperson for the Australian Securities and Investments Commission (ASIC) said when companies register their names through the regulator even very similar ones are ...