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Showing 281 - 284 of 284 results for "Enforceable undertaking"

ASIC permanently bans Victorian financial adviser

The Australian Securities and Investments Commission (ASIC) announced today that it had accepted an enforceable undertaking from Robert Street, a financial adviser from Victoria, that he be permanently excluded from the financial services industry. ...

APRA freezes Strategic Capital Superannuation Fund

... "We commenced the investigation to determine the nature and magnitude of any breaches of the Act an the enforceable undertaking effectively freezes the fund while we complete that task." APRA uses enforceable undertakings to target specific weaknesses ...

ASIC orders Retireinvest to improve its disclosure standards

... that were inconsistent with the their needs, objectives, circumstances or risk profile. As part of this enforceable undertaking, Retireinvest will have to post a notice in its client newsletter and on its website, disclosing certain information in relation ...

ASIC sends WA financial adviser back to school

John Fernando The Australian Securities and Investments Commission (ASIC) today accepted an enforceable undertaking from Jean-Jacques Blandin, formerly of Australian Financial Securities (AFS), that he will not act as a financial representative unless ...