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Showing 171 - 180 of 2080 results for "Australian Securities"

ASIC puts trustees on notice

ELIZA BAVIN  |  THURSDAY, 31 OCT 2019
The Australian Securities and Investment Commission has warned superannuation trustees to improve the standard of communication to fund members about Putting Members' Interests First (PMIF) reforms, hinting it may take action against funds if necessary. ...

Extension for super fund portfolio disclosures

ELIZA BAVIN  |  WEDNESDAY, 30 OCT 2019
The Australian Securities and Investment Commission has extended the deadline for superannuation trustees to disclose their portfolio holdings. ASIC said it amended the order to provide "legal certainty" about the first reporting day, given that the ...

ASIC bans former Fitzpatricks employee

ELIZA BAVIN  |  MONDAY, 28 OCT 2019
... employee has been permanently banned from providing financial services after stealing close to $300,000. The Australian Securities and Investments Commission said Emma Maree Radke provided administration services from a company related to Fitzpatricks ...

ASX updates listing rules

ELIZA BAVIN  |  FRIDAY, 11 OCT 2019
The Australian Securities Exchange has updated its listing rules, boosting its ability to crack down on rule breakers. ASX chief compliance officer Kevin Lewis said the changes are designed to improve disclosures to the market, make the listings rules ...

CommInsure charged over hawking

HARRISON WORLEY  |  FRIDAY, 4 OCT 2019
... trades as CommInsure - at the end of 2014. "These matters had been the subject of an investigation by the Australian Securities and Investments Commission (ASIC)," CBA said. "CMLA reported breaches of anti-hawking provisions to ASIC." The case will be ...

Adviser cops three-year ban

KANIKA SOOD  |  WEDNESDAY, 25 SEP 2019
The Australian Securities and Investments Commission banned a financial adviser from providing any financial services for a period of three years. The corporate regulator made a banning order against Kyle Jonothan Perry Marshall under the Corporations ...

Australia investor friendly, not consumer friendly: Report

ELIZA BAVIN  |  WEDNESDAY, 18 SEP 2019
... Morningstar. Despite low fees for investors, it appears this is not getting passed on to consumers. The Australian Securities and Investments Commission have signaled it is looking into fees charged to consumers for financial advice. ASIC is looking ...

ASIC super specialist jumps to law firm

KANIKA SOOD  |  TUESDAY, 10 SEP 2019
... joined Herbert Smith Freehills on September 2. She has more than 30 years of experience, most recently at the Australian Securities and Investment Commission. She was also a member of the Comprehensive Income Products for Retirement (CIPR) Framework ...

Perth adviser to face court

KANIKA SOOD  |  THURSDAY, 5 SEP 2019
... on September 9. Separate to the incident, Platinum Perpetual Global Private Wealth Pty Ltd has asked the Australian Securities and Investments Commission for its AFSL to be cancelled.

Spaceship co-founder to exit

KANIKA SOOD  |  TUESDAY, 6 AUG 2019
... as St George Bank's chief operating officer. He was appointed as chair in May 2018, a month after the Australian Securities and Investments Commission slapped Spaceship and trustee Tidswell Financial Services with infringement notices about its promotional ...