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Showing 2471 - 2480 of 6696 results for "Securities"

Claims against advice arm have no factual basis: Macquarie

LAURA MILLAN  |  MONDAY, 4 AUG 2014
... of Financial Advice (FoFA) legislation and to the enforceable undertaking (EU) that it entered with the Australian Securities and Investments Commission (ASIC) in January 2013. Macquarie has said that it has put in place new adviser assessments, new ...

ANU enlists CAER for ESG research

JAMES FERNYHOUGH  |  MONDAY, 4 AUG 2014
... investment opportunities considered to be likely to cause substantial social injury," and "positively promote investment in securities, companies, trusts and other entities that support socially beneficial outcomes." ANU's investment director said: "ANU ...

Market Wrap AM

AAP  |  MONDAY, 4 AUG 2014
... Statistics (ABS) releases June's retail trade data, and the ANZ job advertisements series for July is due out as is the TD Securities-Melbourne Institute inflation gauge, also for July. No major equities news is expected. In Australia, the market on ...

ASIC announces National Financial Literacy Strategy

HARRY PAGE  |  FRIDAY, 1 AUG 2014
The Australian Securities and Investments Commission (ASIC) has released its National Financial Literacy Strategy 2014-2017, which is aimed at helping Australians become more financially secure. Over the past 12 months, ASIC has compiled the key priorities ...

ASIC to renew focus on misleading advertising

LAURA MILLAN  |  THURSDAY, 31 JUL 2014
The Australian Securities and Investments Commission (ASIC) has listed advertising of financial products as one of the current and future areas of focus in its latest enforcement report. The regulator has achieved 256 enforcement outcomes in the six ...

New PJC inquiry will "close the loop" on consumer protection

LAURA MILLAN  |  WEDNESDAY, 30 JUL 2014
... current qualifications required by financial advisers and at the recognition of professional bodies by the Australian Securities and Investments Commission (ASIC). The inquiry will investigate the implications - both in competition and regulatory cost ...

Licensee under ASIC scrutiny after employing AAA advisers

LAURA MILLAN  |  WEDNESDAY, 30 JUL 2014
An Adelaide-based licensee has entered into an enforceable undertaking (EU) with the Australian Securities and Investments Commission (ASIC) after it employed a number of former representatives of AAA Intelligence limited. PGW Financial Services has ...

AFA unveils main principles of code of conduct

LAURA MILLAN  |  WEDNESDAY, 30 JUL 2014
... also be a must for AFA advisers, who will have to abide by the code of conduct once it is approved by the Australian Securities and Investments Commission (ASIC). The AFA is now seeking guidance from a working group and taking into account the new Tax ...

ASIC puts an end to PIS monitoring program

LAURA MILLAN  |  TUESDAY, 29 JUL 2014
The adviser monitoring program for Professional Investment Services (PIS) has concluded with the Australian Securities and Investments Commission (ASIC) reporting "a significant improvement in its compliance and audit functions." The Centrepoint-owned ...

ASX agrees to changes after ASIC review

MARK SMITH  |  MONDAY, 28 JUL 2014
The Australian Securities Exchange (ASX) has agreed to make changes to its operations to address a number of issues highlighted by the Australian Securities and Investments Commission (ASIC) in a recent review. The changes will affect the way the ASX ...