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Showing 241 - 250 of 251 results for "Financial Services Law"

Fin services escapes consumer law reform

ALEX DUNNIN  |  TUESDAY, 17 FEB 2009
... these consumer objectives would be better addressed by ASIC. The regulatory carve-out of consumer laws in financial services law is widely considered the primary reason for the excessively anti-competitive compliance regime now operating in the indus ...

$500k fraudster gets jail time

RUTH LIEW  |  MONDAY, 12 MAY 2008
South Australian broker trading representative Kym Andrew Sellers was last Friday sentenced to four years jail with a two-year non-parole period following an Australian Securities and Investments Commission (ASIC) investigation. On 7 April 2008, Sellers ...

Life ban for adviser after altering codes

RUTH LIEW  |  THURSDAY, 17 JAN 2008
... Grant, who was employed with Shadforths Limited, after investigations revealed he failed to comply with a financial services law, and the commission had reason to believe he would not comply with future regulations. Between September 2001 and July 2005 ...

Govt push for reforms in $221.4b legacy products sector

In a move that could unshackle thousands of investors from obsolete or outdated investment products, the Government has released a consultation paper outlining ways to rationalise 6,000 legacy investment products estimated to be worth $221.4 billion. ...

ASIC serves up life to insurance rep

HAMISH MADDEN  |  THURSDAY, 22 JUN 2006
A former CGU Insurance representative has been permanently banned from offering financial services after repeated and deliberate dishonest behaviour, including spending client's insurance premiums on himself. Terence Howell, from Victoria, has received ...

Pam McAlister joins the Greenfields team

... knows. So she brings with her a good - a great - reputation as well." Greenfields exclusively practices financial services law including, amongst other things, in the areas of superannuation, funds management and insurance. The firm also provides responsible ...

ASIC bans financial planner in the west

The Australian Securities and Investments Commission (ASIC) has permanently banned Geoffrey Sanders from providing financial services after it determined there was a realistic likelihood he would not adhere to financial services laws in the future. ...

ASIC rubs out financial planner for two years

... financial planner and dealers' representative for two years after finding him guilty of non compliance with financial services law and having reason to believe he will not comply with these laws in the future. Rosewell's misconduct occurred when he was ...

Five-year ban for portfolio manager

ASIC has given Raydn Nolan a five-year ban from the financial services industry after finding he operated a discretionary portfolio management business without holding an appropriate licence. Nolan ran the business between October 1993 and May 2002 ...

ASIC places permanent ban on Rivkin

... said in a statement. "As a result, ASIC is satisfied there is reason to believe he will not comply with a financial services law in the future." Rivkin had his financial services license taken away from him in February when ASIC placed a reapplication ...