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Showing 2291 - 2300 of 6696 results for "Securities"

ASIC cancels boutique's AFSL

HARRY PAGE  |  THURSDAY, 18 DEC 2014
... Boutique Protect Ensure Pty Ltd has had its Australian financial services (AFS) licence cancelled by the Australian Securities and Investments Commission (ASIC) following a suspension of its licence earlier this year. ASIC suspended Protect Ensure's ...

ASIC acts on 440 SMSF auditors

LAURA MILLAN  |  THURSDAY, 18 DEC 2014
... pass a competency exam necessary to retain their registration have seen their registration cancelled by the Australian Securities and Investments Commission (ASIC). ASIC has also disqualified two SMSF auditors whose application for registration had overstated ...

FEATURE: 2014 year in review

MARK SMITH, LAURA MILLAN, JAMES FERNYHOUGH  |  FRIDAY, 12 DEC 2014
... Wisdom (FW) customers being made public by the Senate Economics Committee inquiry into the performance of the Australian Securities and Investments Committee (ASIC). The inquiry, chaired by Labor Senator Mark Bishop, grilled ASIC commissioners and CBA ...

ASIC accepts EU from Victorian adviser

HARRY PAGE  |  THURSDAY, 11 DEC 2014
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking (EU) from former Professional Investment Services (PIS) representative Seamus O'Brien. O'Brien previously traded as Cambridge Financial Planning in South ...

MTAA Super awards $200m global credit mandate

STAFF WRITER  |  WEDNESDAY, 10 DEC 2014
... approach. The service invests primarily in investment-grade credits and takes opportunistic positions in convertible securities, the sovereign debt of developed nations, agency bonds, asset-backed securities and high-yield and emerging-market debt, where ...

Inquiry asks for greater simple bond red tape reduction

MARK SMITH  |  MONDAY, 8 DEC 2014
... documentation, it is still greater than for a domestic wholesale issue. Less onerous disclosure requirements for listed securities would make retail issuance simpler and more cost effective," said the report. Specifically the Inquiry asked the government ...

Make financial firms more accountable for products: FSI

ALICE URIBE  |  SUNDAY, 7 DEC 2014
Making financial firms more accountable for the design and distribution of products and giving the Australian Securities and Investments Commission (ASIC) increased powers to safeguard consumers were central recommendations in the final report of the ...

Murray calls for ASIC to have more money and power

MARK SMITH  |  SUNDAY, 7 DEC 2014
The Australian Securities and Investments Commission (ASIC) should be given greater powers and more money to do its job. Those were the recommendations laid out by David Murray in his final report to the Financial System Inquiry (FSI). "Regulators' ...

Financial System Inquiry recommendations wrap

STAFF WRITER  |  SUNDAY, 7 DEC 2014
... respect of staffing and funding, and require them to undertake periodic capability reviews. Strengthening the Australian Securities and Investments Commission's funding and powers: Introduce an industry funding model for the Australian Securities and ...

NAS loses another super fund

JAMES FERNYHOUGH  |  FRIDAY, 5 DEC 2014
NAB Asset Servicing (NAS) has lost another super fund client, with TWUSUPER switching custodians to BNP Paribas Securities Services. The $3.9 billion fund is the latest in a string of super funds, including QSuper, Sunsuper and Cbus, to take their business ...