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Showing 271 - 280 of 285 results for "Enforceable Undertaking"

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 ...

Federal Court continues NII proceedings following ASIC action

... Pty Ltd (NII). These proceedings arise from conduct by Mr Kaye and NII following ASIC's acceptance of an enforceable undertaking (EU) from Mr Kaye, NII, Novasource Consulting Pty Ltd and Mr Alan Meagher on 30 July 2003. ASIC alleges that NII and Mr Kaye ...

Macquarie agrees to enforceable undertaking by ASIC

Macquarie Investment Management Limited (MIML), a Macquarie Bank Group company, has agreed to an enforceable undertaking accepted by the Australian Securities and Investments Commission (ASIC) to improve its compliance with ASIC's policy on prospective ...

ASIC accepts enforceable undertaking from NMMT

The Australian Securities and Investments Commission (ASIC) today announced that it had accepted an enforceable undertaking from NMMT, a subsidiary of AXA Asia Pacific Holdings in relation to its failure to lodge a rollover prospectus. "Lodging documents ...

Wattle director pleads guilty to 48 charges: ASIC

... prohibited from applying for a new passport or international travel documents. Meanwhile, ASIC has accepted an enforceable undertaking from NMMT Ltd - a subsidiary of AXA Asia Pacific Holdings Ltd - in relation to its failure to lodge a rollover prospectus. ...

ASIC accepts enforceable undertakings from two Lifetrack directors

The Australian Securities and Investments Commission (ASIC) has also accepted enforceable undertakings from Lifetrack Management Ltd and Messrs David Smith and Alan Rich, two of its directors. Lifetrack was the approved trustee of the AM Pooled Superannuation ...

APRA reaches settlement with LifeTrack directors

The Australian Prudential Regulation Authority (APRA) announced today that it had reached a settlement with Approved Trustee, LifeTrack Management Limited and two of its directors. In response to falling equity markets, LifeTrack took steps in October ...

ASIC obtains undertakings following Federal Court proceedings

... they must be appropriately licensed or face enforcement action from ASIC." Meanwhile ASIC has accepted an enforceable undertaking from Wanted World Wide (Australia) Pty Ltd and its directors, Francesco Bagyio Carbone and Teresa Jane Carbone, in relation ...

Tower Australia to repay policyholders

... computer error. ASIC noted Tower had been co-operative throughout the investigation and had agreed to an enforceable undertaking to rectify the computer problems.

ASIC obtains orders to wind up Share Trend Software of Queensland

STAFF REPORTER  |  TUESDAY, 1 JUL 2003
... Trend and its director Robert Szatmari and Ian Thour, following allegations that they had breached an enforceable undertaking, accepted by the commission in October 1998.