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Showing 1971 - 1980 of 2080 results for "Australian Securities"

Solicitor to stand trial for 39 charges brought by ASIC

... has been committed to stand trial before the NSW District Court, in relation to 39 charges brought by the Australian Securities and Investments Commission (ASIC). The charges relate to the failed investment by Tietyens Investments Pty Ltd in the Tally ...

Two directors charged for failed unregistered invesment scheme: ASIC

... directors today appeared in the Adelaide Magistrates Court to face charges arising from an investigation by the Australian Securities and Investments Commission (ASIC) into the operation of the United Investments Trust. Terence Eric Loveday of North ...

ASIC clarifies conduct and disclosure obligations for financial planners

In its attempts to enhance the standards of conduct and disclosure amongst financial advisers, the Australian Securities and Investments Commission (ASIC) has today explained how it will administer the new conduct and disclosure obligations for financial ...

FPA announces changes to its diploma and CFP qualifications

... Services (Financial Planning) Certified Financial Practitioner (CFP) qualifications. The new program meets Australian Securities and Investment Commission (ASIC)'s PS. 146 requirements as well as new core competencies released by the National Finance ...

ASIC takes legal action against company for cold calling investors

The Australian Securities and Investments Commission (ASIC) has taken court action against Morgan Price, a company that ASIC alleges represented itself as an Australian-based brokerage firm, promoting shares in US-backed companies by way of cold calling ...

Extradited Bell director faces 15 charges in Perth court: ASIC

... Antony Gordon Oates today appeared in the Perth Court of Petty Sessions to answer 15 charges laid by the Australian Securities and Investments Commission (ASIC). Mr Oates was charged with one count of conspiracy to defraud, seven counts of improper use ...

Former Queensland executive director prosecuted for insider trading: ASIC

The Australian Securities and Investments Commission (ASIC) today announced that Maxwell Sweetman, former executive director of Harts Australasia, has appeared in the Brisbane Magistrates Court charged with two counts of insider trading in the shares ...

Two company directors jailed: ASIC

The Australian Securities and Investments Commission (ASIC) announced today that two former directors of Acts Net have been sentenced to jail today following their guilty pleas to a number of charges brought by the commission. Geoffrey Milner of Mildura ...

Tasmanian director and Victorian man charged with fraud

... appeared in the Hobart Magistrates' Court today jointly charged with two counts of fraud brought by the Australian Securities and Investments Commission (ASIC). ASIC alleges that between February 15 and March 3 2000, Messrs Williams and Paterson were ...

ASIC imposes permanent ban on Sydney adviser

The Australian Securities and Investments Commission (ASIC) has announced today that it had permanently banned John Higgins of Sans Souci of New South Wales from acting as a representative of a securities dealer or of an investments adviser, and from ...