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Showing 1841 - 1850 of 2080 results for "Australian Securities"

ASIC conducts searches in Sydney for Alpine Investigation

AAP  |  FRIDAY, 14 NOV 2003
... home, offices and boat today as part of its investigation into the ownership of Offset Alpine Printing. The Australian Securities and Investments Commission (ASIC) confirmed it executed search warrants on a number of premises in Sydney in relation to ...

Former AMP superannuation agent jailed

... and 10 months imprisonment, with a non-parole period of 15 months, in relation to charges brought by the Australian Securities and Investments Commission (ASIC). Harold Frederick Moses of Sydney had previously pleaded guilty to two charges of cheating ...

Jodee Rich terminates family law agreement

AAP  |  THURSDAY, 13 NOV 2003
... and his wife Maxine, which was to be the subject of a NSW Supreme Court challenge later this month. The Australian Securities & Investments Commission (ASIC) has initiated legal proceedings in the Supreme Court after the Family Court last month dismissed ...

ASIC bans Darling Point financial adviser

The Australian Securities and Investments Commission (ASIC) has banned Martin Lloyd-Cocks, a financial adviser from Darling Point NSW, from acting as a representative of a securities dealer or investment adviser for five years. Mr Lloyd-Cocks was an ...

Zurich receives last of eight AFS licenses

... (ZSFA) today announced it had received the last of its eight Australian Financial Services licenses from the Australian Securities and Investments Commission (ASIC). The licences cover ZSFA businesses across managed investments, superannuation, life ...

ASIC annual report highlights record enforcement action

The Australian Securities and Investments Commission (ASIC) has reiterated its role in its 2002-03 annual report tabled in Federal Parliament this week, stressing that enforcement is integral to its regulatory function. In the report, ASIC chairman ...

Cairns dealer faces six dishonesty charges

A Cairns dealer has appeared in the Cairns Magistrates Court to answer six dishonesty charges from Australian Securities and Investments Commission (ASIC). The charges relate to her conduct when employed as a junior dealer in the Cairns office of ABN ...

ASIC made record enforcements in 2003-4: report

AAP  |  THURSDAY, 6 NOV 2003
... for white collar criminals in 2002-03, including stockbroker Rene Rivkin, its annual report reveals. The Australian Securities and Investments Commission (ASIC), said it achieved record "enforcement outcomes", including 29 criminals jailed for fraud ...

Mortgage broker to compensate former clients

... business, will be required to pay compensation to past clients, following enforceable undertakings won by the Australian Securities and Investments Commission (ASIC). An earlier investigation by ASIC found Express Loans may have misled borrowers and ...

ASIC clears way for new exchanges to set up in Australia

The Australian Securities and Investments Commission (ASIC) has further fleshed out the regulatory regime covering foreign providers of financial services, this week releasing a new policy statement (PS) for operators of exchanges and financial markets. ...