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Showing 11 - 18 of 18 results for "Investments Commission Act"

ASIC links previously banned adviser to court proceedings

EMMA RAPAPORT  |  WEDNESDAY, 16 AUG 2017
... defendants breached various provisions of the Corporations Act 2001 and the Australian Securities and Investments Commission Act 2001, including the best interest obligations financial advisers owe to their clients under the Future of Financial Advice ...

Sydney RE to pay for false ads

JAMIE WILLIAMSON  |  MONDAY, 17 JUL 2017
... Federal Court - of two instances in which it contravened section 12DB of the Australian Securities and Investments Commission Act 2011. As such, and in addition to the penalty, Huntley was ordered to post notices on its website about the statements being ...

Adviser contravenes FoFA obligations

EMMA RAPAPORT  |  MONDAY, 20 MAR 2017
... accused by the regulator of various breaches of the Corporations Act and the Australian Securities and Investments Commission Act. This includes alleged breaches of the best interests obligations, engaging in unconscionable conduct, and failing to hold ...

ASIC commences proceedings against Westpac

ALEX BURKE  |  WEDNESDAY, 6 APR 2016
... declarations that Westpac contravened s.12CA, s.12CB and the former s.12CC of the Australian Securities and Investments Commission Act 2001 (Cth) (ASIC Act), s.912A(1), s.1041A of the Corporations Act 2001 (Cth) (Corporations Act)." In addition, ASIC ...

ASIC obtains order banning derivatives trading director

BEN COLLINS  |  TUESDAY, 24 APR 2012
Australian Securities & Investments Commission action has resulted in Neil William King, formerly of Brighton, Victoria, being removed from the financial services industry for six years. In proceedings brought by Australian Securities & Investments ...

ASIC catches Camelot Derivatives

ASIC RELEASE  |  TUESDAY, 8 FEB 2011
... above offences contravened provisions of the Corporations Act 2001 and the Australian Securities and Investments Commission Act 2001. The matter is scheduled to return to the Federal Court for further directions on 29 April 2011. The interim orders will ...

Broker jailed for false trades

ASIC RELEASE  |  WEDNESDAY, 14 JUL 2010
... providing false or misleading information to ASIC contrary to section 64 of the Australian Securities and Investments Commission Act. Between 3 May 2006 and 26 March, while a senior client adviser at Macquarie Equities, Chan used a number of trading ...

Ex Macquarie broker pleads guilty

ASIC RELEASE  |  TUESDAY, 16 MAR 2010
... providing false or misleading information to ASIC contrary to section 64 of the Australian Securities and Investments Commission Act 2001. He has been committed to the Supreme Court of Victoria for plea hearing on 21 June 2010. On 20 August 2009 Chan ...
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