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Showing 211 - 220 of 284 results for "Enforceable undertaking"

CFP adviser offers ASIC EU

ELISE BURGESS  |  THURSDAY, 5 APR 2012
ASIC has accepted an enforceable undertaking from a former Commonwealth Financial Planning adviser, including a five year ban. A former Commonwealth Financial Planning Limited (CFPL) adviser, Christopher Baker of Croydon, NSW, has offered to not provide ...

ASIC strikes against currency trader

MELANIE TIMBRELL  |  TUESDAY, 3 APR 2012
... year, which cannot be accounted for. In other news from ASIC yesterday, the corporate watchdog accepted an enforceable undertaking from Adelaide adviser Barry David Hassell to permanently cease providing financial services. In offering the EU, Hassell ...

PIS names new risk manager

ELISE BURGESS  |  THURSDAY, 15 MAR 2012
... proposition and delivering continuous improvement processes. PIS in currently in its final phase of an enforceable undertaking with the Australian Securities and Investments Commission (ASIC) after the regulator raised concerns PIS was not meeting its ...

APRA accepts EU from former Trio director

CLAIRE MCGREAL  |  WEDNESDAY, 7 MAR 2012
APRA has accepted an enforceable undertaking from a sixth former director of Trio Capital. John Godfrey was a non-executive director of Trio between February 2005 and June 2007, as well as being chair of the board from June 2005 to February 2007. Godfrey ...

Superannuation needs more regulatory resilience: ASIC

MELANIE TIMBRELL  |  MONDAY, 20 FEB 2012
The exponential growth in superannuation has been named the first challenge to growing the resilience of the Australian regulatory perimeter by Greg Medcraft, chairman of ASIC. Speaking at the ASIC Summer School in Sydney this morning, Medcraft said ...

CBA profits up 19%, wealth mgmt struggles

ELISE BURGESS  |  WEDNESDAY, 15 FEB 2012
... customer mix shift towards lower margin products and increased costs of compliance, including a recent Enforceable Undertaking with the Australian Securities and Investments Commission (ASIC)." FirstChoice and Custom Solutions performed well with strong ...

Astarra auditor banned for three years

ELISE BURGESS  |  FRIDAY, 10 FEB 2012
... auditor, Timothy Frazer, is prevented from auditing companies for three years, after ASIC accepted an enforceable undertaking that he would not act as a registered company auditor during that time. The Australian Securities and Investments Commission ...

ASIC continues Trio crackdown

CLAIRE MCGREAL  |  THURSDAY, 2 FEB 2012
... industry or managing a corporation. The Australian Securities Investment Commission (ASIC) accepted an enforceable undertaking from Maher yesterday, after the Commission found he engaged in misleading conduct, and failed to disclose conflicts of interest ...

APRA accepts EU from former Trio director

CLAIRE MCGREAL  |  FRIDAY, 4 NOV 2011
The Australian Prudential Regulation Authority has accepted an enforceable undertaking from the remaining Trio Capital director David O'Bryen. Under the terms, O'Bryen will not act as a trustee or as a responsible officer of a body corporate that is ...

ASIC accepts Commonwealth Financial Planning EU

MEDIA RELEASE  |  WEDNESDAY, 26 OCT 2011
ASIC today announced it has accepted an enforceable undertaking (EU) from Commonwealth Financial Planning Limited (CFP) following an investigation into the provision of advice by some of its financial advisers. CFP is a wholly owned subsidiary of the ...