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Showing 1651 - 1660 of 2080 results for "Australian Securities"

Balanced approach from regulators re Choice

The Australian Taxation Office (ATO) and the Australian Securities and Investments Commission (ASIC) have jointly released a booklet outlining the compliance approach to the impending choice of fund environment. The material guide, called Choice of ...

ASIC moves against unlicensed business

The Australian Securities and Investments Commission (ASIC) has begun proceedings in the Federal Court in Perth against David Alan Zohar and Swancove Enterprises Pty Ltd (Swancove) following an investigation into written advertisements and the operation ...

Unlicensed financial adviser caught out

An Australian Securities and Investments Commission (ASIC) investigation has resulted in Donald Maxwell facing one charge of carrying on a financial services business without an Australian financial services license (AFSL). The regulator alleges Maxwell ...

ASIC provides guidance on superannuation calculators

The Australian Securities and Investments Commission (ASIC) will exempt providers of superannuation calculators from the need to hold a financial services licence or where the provider is already licensed from some of the conduct and disclosure provisions ...

Former financial adviser guilty of fraud

... converting clients' funds for his own or his company's use or benefit. The charges are the result of an Australian Securities and Investments Commission (ASIC) investigation into Smith's activities as a financial adviser working for his own company Mossbrook ...

Former NAB currency options trader jailed

... currency desk, Luke Duffy has been sentenced to 29 months imprisonment following three charges brought by the Australian Securities and Investments Commission (ASIC). The County Court of Victoria however reduced the sentence that would have otherwise ...

ASIC provides guidance about Choice advice

The Australian Securities and Investments Commission (ASIC) has released a guide to help individuals and organisations, namely employers, who do not hold an Australian financial services licence (AFSL) and are likely to give advice to employees about ...

Watchdogs to recruit trustees for data collection

... trustees to enlist their assistance in collecting fees and charges data which will in turn be published by the Australian Securities and Investments Commission (ASIC). In June 2004, the then Minister for Revenue and Assistant Treasurer, Senator Helen ...

Class action filed against retirement fund managers

AAP  |  FRIDAY, 10 JUN 2005
... many of whom had their retirement savings at stake," Goldman said. Smith and Rich gave undertakings to the Australian Securities and Investments Commission (ASIC) in 2003 that banned them from holding an Australian Financial Services Licence for 10 years. ...

Interim relief for super fund product disclosure extended

... requirements of s1012IA of the Corporations Act 2001 until 30 June 2006. The development comes after the Australian Securities and Investments Commission (ASIC) decided to extend the relief provided from the Act under Class Order [CO 05/346] Deferral ...