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Showing 2051 - 2060 of 2080 results for "Australian Securities"

Super fund director gets four year ban

... which incurred losses of more than $1 million due to the default on the loan. David Knott, chairman of the Australian Securities and Investments Commission (ASIC) said, "the Federal Court found that Parker failed to exercise the requisite degree of care ...

AMP gets $100,000 slap on the wrist from ASIC

AMP has agreed to fund a $100,000 corporate disclosure program in the wake of an Australian Securities and Investments Commission (ASIC) investigation into announcements the insurance and financial services giant made to the market between July 29 and ...

ASIC releases revised AFS licence conditions

The Australian Securities and Investments Commission (ASIC) today released revised Australian Financial Services (AFS) licence conditions to reflect the updated Policy Statements (PS) 166 and 146, the documents that set out the minimum training standards ...

Insurance-free insurance brokers wound up

... licence or without professional indemnity insurance. The action was taken following an application made by the Australian Securities and Investments Commission (ASIC). The court ordered that Paul John Blundell and Matthew Clive Coleman, who were each ...

Ex-Bridges manager pleads guilty to $400,000 dishonesty charge

... his position while back office manager of Bridges Financial Services, following allegations made by the Australian Securities and Investments Commission (ASIC). ASIC has alleged that between 1999 and 2002 Lister had used his position dishonestly with ...

SA adviser joins son on ASIC banned list

Paul Cully The Australian Securities and Investments Commission (ASIC) today handed down a two year ban to South Australia financial adviser Kevin Lehman for unauthorised dealing in superannuation and insurance products, one month after his son Klinton ...

ASIC appoints McLaughlins to manage $37 million property schemes

... entity for 15 managed investment schemes worth approximately $37 million, following an application by the Australian Securities and Investments Commission (ASIC). The 15 schemes were controlled by Entitle Limited (Entitle), who, according to ASIC, had ...

Another adviser pleads guilty to ASIC charges

... dishonestly coaxing an elderly client to transfer money into his account or those held by his own company, the Australian Securities and Investments Commission (ASIC) said today. The charge was laid following an ASIC investigation into Mudge's conduct ...

ASIC obtains permanent orders against investment directors

John Fernando The Australian Securities and Investments Commission (ASIC) has obtained permanent orders in the Supreme Court of Queensland against Kevin and Kathleen Young and the four companies of which they were directors - The Investors Club, Lisson ...

ASIC issues updated tip sheet for below-par auditors

John Fernando The Australian Securities and Investments Commission (ASIC) today announced that it has issued an updated information sheet to provide guidance for applicants wishing to register as a company auditor. The information sheet, entitled 'how ...