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Showing 1941 - 1950 of 2080 results for "Australian Securities"

IFSA approves ASIC "fees at a glance" template

... Financial Services Association (IFSA) has welcomed the release of a standardised fee disclosure template by the Australian Securities and Investment Commission (ASIC) for financial products and services. "IFSA has been a strident supporter of these reforms ...

ASIC obtains undertakings following Federal Court proceedings

The Australian Securities and Investments Commission (ASIC) has obtained undertakings from Henry Kaye and Alan Meagher, of National Investment Institute Pty Ltd (NII) and Novasource Consulting Pty Ltd, following proceedings commenced in the Federal ...

EPAS directors committed to stand trial

... Terrance James, have been committed to stand trial on 18 counts of breaching their duties as directors, the Australian Securities and Investments Commission (ASIC) has reported. ASIC alleges that Messrs James and Sheilds improperly used their positions ...

Mixed fortunes for embattled Elliott

... companies (jointly with another director). The court also fined him $15,000 and ordered Mr Elliott to pay the Australian Securities and Investments Commission's (ASIC) legal costs. David Knott, Chairman of ASIC, said the regulator would immediately initiate ...

ASIC acts on conflicts of interest

The Australian Securities and Investments Commission (ASIC) has announced the results of its program of reviewing related party disclosure documents sent to shareholders by public companies. Under the Corporations Act, public companies must dispatch ...

Too many defects in prospectuses: ASIC

... to fall short of minimum standards set down in the Corporations Act, according to a recent review by the Australian Securities and Investments Commission (ASIC). The industry regulator said defects in offer documents prompted it to place 89 stop orders ...

ASIC releases new licensing guide

The Australian Securities and Investments Commission (ASIC) today released a new licensing guide called - Responsible officers: demonstrating compliance with organisational competency obligations, and explains how applicants for an Australian Financial ...

ASIC moves against late disclosure

The Australian Securities and Investments Commission (ASIC) is continuing to crack down on listed companies late or failing to lodge financial statements. The industry watchdog announced it has issued 22 orders under the Corporations Act against companies ...

Director sentenced, adviser banned

... concerned in the promotion of prescribed interests, through ASM, in contravention of the Corporations Act. The Australian Securities and Investments Commission (ASIC) said the charges related to seven investors who lost money in a capital raising known ...

AAT requests ASIC reinstate securities dealers' licences

... Administrative Appeals Tribunal (AAT) has upheld an appeal by Chapel Road Pty Ltd and required that the Australian Securities and Investments Commission (ASIC) reinstate its securities dealers' licences. The AAT has ordered the reinstatement of the licence ...