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Showing 161 - 170 of 1402 results for "Investments Commission"

ASIC report highlights insufficient penalties

LAURA MILLAN  |  MONDAY, 2 FEB 2015
... organisations reached record levels in 2014, but are still insufficient, according to the Australian Securities and Investments Commission (ASIC) latest enforcement report. ASIC quotes the record $1.2 million civil penalty imposed on Newcrest Mining ...

Medcraft backs national adviser exam

MARK SMITH  |  TUESDAY, 13 JAN 2015
Australian Securities and Investments Commission (ASIC) chairman Greg Medcraft has come out in support of a new national exam for financial advisers. Medcraft backed the proposal in an op-ed published in the Australian Financial Review. "I strongly ...

ASIC imposes conditions on Guardian Advice

STAFF WRITER  |  WEDNESDAY, 7 JAN 2015
The Australian Securities and Investments Commission (ASIC) has imposed conditions on the licence of Suncorp-owned Guardian Advice following a surveillance which uncovered deficiencies in the advice it provided to retail clients. ASIC said the company ...

Avestra fined for breaching takeover laws

HARRY PAGE  |  THURSDAY, 18 DEC 2014
... been convicted and fined $40,000 for breaching takeover laws according to the Australian Securities and Investments Commission (ASIC). Avestra Asset Management failed to notify the market it had acquired a substantial stake in AG Financial Limited and ...

ASIC cancels boutique's AFSL

HARRY PAGE  |  THURSDAY, 18 DEC 2014
... Ltd has had its Australian financial services (AFS) licence cancelled by the Australian Securities and Investments Commission (ASIC) following a suspension of its licence earlier this year. ASIC suspended Protect Ensure's licence in September 2014 for ...

ASIC acts on 440 SMSF auditors

LAURA MILLAN  |  THURSDAY, 18 DEC 2014
... necessary to retain their registration have seen their registration cancelled by the Australian Securities and Investments Commission (ASIC). ASIC has also disqualified two SMSF auditors whose application for registration had overstated the number of ...

ASIC accepts EU from Victorian adviser

HARRY PAGE  |  THURSDAY, 11 DEC 2014
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking (EU) from former Professional Investment Services (PIS) representative Seamus O'Brien. O'Brien previously traded as Cambridge Financial Planning in South ...

Make financial firms more accountable for products: FSI

ALICE URIBE  |  SUNDAY, 7 DEC 2014
... firms more accountable for the design and distribution of products and giving the Australian Securities and Investments Commission (ASIC) increased powers to safeguard consumers were central recommendations in the final report of the Financial System ...

Murray calls for ASIC to have more money and power

MARK SMITH  |  SUNDAY, 7 DEC 2014
The Australian Securities and Investments Commission (ASIC) should be given greater powers and more money to do its job. Those were the recommendations laid out by David Murray in his final report to the Financial System Inquiry (FSI). "Regulators' ...

Financial System Inquiry recommendations wrap

STAFF WRITER  |  SUNDAY, 7 DEC 2014
... and require them to undertake periodic capability reviews. Strengthening the Australian Securities and Investments Commission's funding and powers: Introduce an industry funding model for the Australian Securities and Investments Commission (ASIC) and ...