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Showing 161 - 163 of 163 results for "ASIC for"

ASIC deals out permanent ban to Brisbane financial planner

The Australian Securities and Investments Commission (ASIC) has permanently banned Harvey Baigent - a Brisbane financial planner - from acting as a representative of a dealer or investment adviser. ASIC commenced an investigation of Mr Baigent following ...

ASIC clarifies conduct and disclosure obligations for financial planners

... outlined Policy Statement 175 Licensing: Financial product advisers - conduct and disclosure that provides guidance from ASIC for advisers on their conduct and disclosure obligations. The commission was clear to point out that PS 175 did not constitute ...

Disqualified Sydney businessman sentenced to jail

... charges resulting from an ASIC investigation into the property development projects. No prospectus was ever lodged with ASIC for any of the development projects, and the investors involved subsequently lost most of their money. According to ASIC estimates ...