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Showing 261 - 270 of 284 results for "Enforceable undertaking"

ASIC accepts enforceable undertaking from Capital Intelligence Ltd

ASIC today has accepted an enforceable undertaking from Capital Intelligence Ltd (CI), also known as Hometrader Ltd in response to a range of compliance failures. The regulator begin the investigation following its surveillance of CI at the Adelaide ...

ACCC plans to revise merger process to increase transparency

AAP  |  FRIDAY, 24 SEP 2004
The Australian Competition and Consumer Commission (ACCC) on Thursday said it planned to open up scrutiny of its merger clearance process to increase transparency and accountability. ACCC chairman Graham Samuel said the changes would embrace world's ...

ASIC draws the line on super fee

... disclosure generally rather pitching one side of the industry against the other." On Wednesday ASIC accepted an enforceable undertaking from Mellon after it found a statement issued by NSP Buck Eligible Rollover Fund - now know as the Mellon Eligible ...

ASIC acts against Mellon for misleading statements on super fees

... appropriately qualified or cross-referenced to information in the annual report. As a result ASIC has accepted an enforceable undertaking that Mellon will not make any statement to the effect of nil administration fees; Mellon will, for the next five ...

ASIC crackdown on misleading mortgage broker advertising

... a limited panel of lenders who are paying you commission." The warning was issued by ASIC following an enforceable undertaking from Structured Financial Solutions in relation to claims which ASIC found to be misleading and deceptive. In the eight months ...

Lifetrack director on hold for five years: ASIC

The Australian Securities and Investments Commission has accepted enforceable undertakings from Barry Egan, a former director of Lifetrack Management, which is a trustee of the AM Pooled Superannuation Trust. The undertakings require Egan to not act ...

ASIC takes action against company directors

... says Mr Sharland is currently an undischarged bankrupt, and also alleges Mr Sharland breached an earlier enforceable undertaking to refrain from operating such schemes. Meanwhile in an unrelated matter, the Federal Court has also disqualified a Melbourne ...

Tower provides undertakings to ASIC regarding FAI PSP product

AAP  |  TUESDAY, 25 NOV 2003
... investments in the PSP product. The undertakings had been provided in accordance with the terms of the enforceable undertaking offered by Tower in July, ASIC said. After an investigation into complaints alleging that surrender values shown in annual ...

Mortgage broker to compensate former clients

Express Loans and Finance Pty Ltd, operators of the Express Loans mortgage broking business, will be required to pay compensation to past clients, following enforceable undertakings won by the Australian Securities and Investments Commission (ASIC). ...

ARPA receives enforceable undertaking

... the public regarding the AMP's demerger episode, has said as part of APRA's review of the demerger, an enforceable undertaking was received from AMP Limited. This undertaking prevented any assumption of debt by the Australian entities and transfers of ...