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Showing 1641 - 1650 of 2080 results for "Australian Securities"

ASIC nabs SMSF adviser

The Australian Securities and Investments Commission (ASIC) has shut down a self-managed superannuation fund (SMSF) adviser from conducting any business relating to superannuation. This is the second SMSF shut down by the regulator since its superannuation ...

New compliance director for ASIC

The Australian Securities and Investments Commission (ASIC) has appointed Carole Ferguson to the newly created role of director institutional and wholesale compliance. Ferguson joins ASIC having most recently been Colonial First State Investments' senior ...

ASIC bans SMSF adviser

The Australian Securities and Investments Commission (ASIC) has moved to shut down a self managed super fund adviser after it was found the adviser had conducted business without an Australian financial services licence (AFSL) and provided misleading ...

Orders issued against investment scheme manager

The Australian Securities and Investments Commission (ASIC) has been granted interim orders in the Adelaide Federal Court against Guiseppe Mercorella whom the regulator alleges breached the Corporations Act through his involvement in a managed investment ...

ASIC pleased with ASX role

The Australian Securities and Investments Commission (ASIC) has released the findings of its third annual assessment of the Australian Stock Exchange (ASX) determining the supervisory capability of the ASX. ASIC's report to the Government as required ...

ASIC bans financial planner in the west

The Australian Securities and Investments Commission (ASIC) has permanently banned Geoffrey Sanders from providing financial services after it determined there was a realistic likelihood he would not adhere to financial services laws in the future. ...

Unsolicited share offers jump

Unsolicited offers to buy shares are on the increase according to the Australian Securities and Investments Commission (ASIC), which reported a 51 per cent increase in reports of such offers over the past 12 months. AXA Pacific Holdings and Tattersalls ...

ASIC pleased with regional advisers

The Australian Securities and Investments Commission (ASIC) is encouraged by the efforts of regional advisers to comply with the Financial Services Reform Act following a series of regional adviser visits. ASIC Compliance Directorate executive director ...

CPA Australia responds to FSR refinements

... section of a maximum of three pages customised to the client. The fourth option for consideration includes the Australian Securities and Investments Commission to develop case studies and supporting SoAs to demonstrate what it considers to be acceptable ...

Third operator of early release super scheme punished

The Australian Securities and Investments Commission (ASIC) has obtained Federal Court orders against Raymond Heard, the third operator of early release superannuation schemes that illegally freed up over $3.5 million of Australian superannuation benefits. ...