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Showing 1581 - 1590 of 2080 results for "Australian Securities"

ASIC bans broker and adviser for life

HAMISH MADDEN  |  MONDAY, 14 AUG 2006
The Australian Securities and Investments Commission (ASIC) has imposed permanent bans on an insurance broker and a former ANZ Bank adviser for syphoning off significant amounts of money. Former insurance broker Dennis Whittaker, who was general manager ...

Past performance is misleading advertising: ASIC

HAMISH MADDEN  |  WEDNESDAY, 9 AUG 2006
The Australian Securities and Investments Commission (ASIC) has warned investment funds about using past performance as part of advertising or promotional material, singling out a recent advertising campaign by BT Financial Group. In issuing its warning ...

Options broker guilty of large scale forgery

HAMISH MADDEN  |  TUESDAY, 8 AUG 2006
... South Australian resident Neville Kakoschke entered a guilty plea to the 27 forgery charges brought by the Australian Securities and Investments Commission (ASIC) and acknowledged a further 25 related charges. Kakoschke was employed by stockbroking firm ...

ASIC issues disclosure guidelines for super trustees

HAMISH MADDEN  |  FRIDAY, 4 AUG 2006
The Australian Securities and Investments Commission (ASIC) has issued a new policy detailing guidelines for superannuation trustees regarding the delivery of product disclosure information about investment strategies to members. Policy Statement 184 ...

ASIC defends AMP FP action

KATE HAGE  |  THURSDAY, 3 AUG 2006
Australian Securities and Investments Commission (ASIC) chairman, Jeffrey Lucy, defended the regulator's decision to avoid a court action in preference of handing out an enforceable undertaking to AMP Financial Planning yesterday, flagging an increased ...

GIO Insurance directors hit with heavy penalties

HAMISH MADDEN  |  THURSDAY, 3 AUG 2006
... former directors of GIO Insurance were disqualified and dealt hefty fines by the NSW Supreme Court after an Australian Securities and Investments Commission (ASIC) investigation into their dishonest and improper conduct. Geoffrey Vines, Francis Robertson ...

Accountants to investigate investment scheme

HAMISH MADDEN  |  MONDAY, 31 JUL 2006
... accountants have been appointed to examine an Intertax managed investment scheme after a court application by the Australian Securities and Investments Commission (ASIC). The Intertax Group, of which David Palmer, Max Collins and Philip Trudgeon were ...

AMP caught on conflicts

KATE HAGE  |  THURSDAY, 27 JUL 2006
... advice industry into turmoil, AMPFP has agreed to give the regulator an enforceable undertaking after the Australian Securities and Investments Commission (ASIC) found that in almost half of the cases reviewed planners failed to give adequate disclosure ...

ASIC plays educator on the radio

The Australian Securities and Investments Commission (ASIC) has launched a six part radio series, Your Money, designed to help consumers distinguish genuine financial opportunities from scams. "Consumers are often dazzled by offers of high returns from ...

Trustees told to ramp up disclosure: ASIC

KATE HAGE  |  TUESDAY, 18 JUL 2006
The Australian Securities and Investments Commission (ASIC) has given new guidelines for superannuation trustees on reporting material changes and significant events sooner after they occur in a bid to ramp up disclosure to members. ASIC's executive ...