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Showing 211 - 220 of 252 results for "Financial Services Law"

ASIC accepts EU from two advice firms

LAURA MILLAN  |  TUESDAY, 24 SEP 2013
... according to ASIC, Spring Financial failed to monitor and supervise Royal Capital to ensure compliance with the financial services law. The firm also failed to provide enough processes and education to its authorised representatives Spring Financial ...

AFS advisers question payment model

LAURA MILLAN  |  FRIDAY, 16 AUG 2013
... 2013, but fund managers have kept pouring money into it and it is now estimated to hold over $1.9 million. Financial services law firm Holley Nethercote, which represents former AFS advisers, was pessimistic about the situation. In a letter to advisers ...

ASIC slaps permanent ban on insurance claim manager

MARK SMITH  |  WEDNESDAY, 10 JUL 2013
ASIC has permanently banned a Victorian insurance claims manager from providing financial services after an investigation found he fraudulently pocketed more than $1 million. Travers David Loy, of Heathmont in Victoria, was the national claims manager ...

netwealth expands its board of directors

JAMES FERNYHOUGH  |  WEDNESDAY, 10 JUL 2013
... board. "Her strategic insights from senior leadership roles in platforms and funds management, as well as in financial services law, will be a real advantage for us." Mulligan said the netwealth's diverse offerings in the financial services space provides ...

Former Astarra director permanently banned from fin services

LAURA MILLAN  |  THURSDAY, 7 MAR 2013
The Australian Securities and Investments Commission (ASIC) announced today that it has permanently banned former Astarra Asset Management director Eugene Liu from providing financial services for failing to comply with financial services laws. Liu ...

Broken 'contribs law' needs fixing: SPAA

BEN COLLINS  |  THURSDAY, 14 FEB 2013
... but Burgess questions its overall impact on the Government's budget position. Jemma Sanderson partner of financial services law firm Cooper Partners said that the legislation can also be particularly bad for women, who take extended breaks from the w ...

Ex-Kangaroo and Storm adviser banned for non-compliance

MARK STORY  |  MONDAY, 3 DEC 2012
ASIC has permanently banned a former Storm Financial Ltd financial adviser from providing any financial services after it found he had engaged in misleading and deceptive conduct and failed to comply with financial services laws. Walter John (Wally) ...

Another Commonwealth Financial Planning adviser banned

BEN COLLINS  |  MONDAY, 12 NOV 2012
ASIC has permanently banned a former Commonwealth Financial Planning Limited financial planner from providing any financial services after it found he forged client signatures and failed to comply with financial services laws. Ricky David Gillespie ...

ASIC bans two advisers

MELANIE TIMBRELL  |  TUESDAY, 25 SEP 2012
ASIC has banned two advisers from providing financial services following breaches including unlawful early release of superannuation benefits. Simon Turudia, formerly an authorised representative of AMP Financial Planning was found to have arranged ...

ASIC closes in on SMSF advice firms

LINDA HAUSKEN  |  FRIDAY, 13 JUL 2012
The Australian Securities & Investments Commission has obtained interim court orders against two Queensland-based self-managed superannuation advice companies, following concerns that the firms have misled investors about their investments. The corporate ...