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Showing 11 - 17 of 17 results for "Investments Commissions"

ASIC call to improve planner education

ELISE BURGESS  |  WEDNESDAY, 6 APR 2011
... financial services regulator go ahead. A consultation paper submitted by the Australian Securities and Investments Commissions (ASIC) proposes to amend current frameworks to create uniform minimum standards consistent with industry developments here ...

ASIC starts shadow shopping

ELISE BURGESS  |  MONDAY, 21 MAR 2011
The Australian Securities and Investments Commissions (ASIC) will look at the "quality" of retirement financial advice available to consumers in a new shadow shopping exercise that will start this year. ASIC will begin shadow shopping research to judge ...

ASX builds rival platform take on Chi-X

ELISE BURGESS  |  WEDNESDAY, 16 MAR 2011
... prepares for the new competitive market starting later this year. Reacting to the Australian Securities and Investments Commissions (ASIC) March release that will see Chi-X Global, a Tokyo-based market operator, enter the Australian market later this ...

Poor advice fine to reach $200k

ELISE BURGESS  |  MONDAY, 21 FEB 2011
... the fiduciary code may also face up to five years imprisonment from charges by Australian Securities and Investments Commissions (ASIC). Previously, ASIC made a submission to the Parliamentary Joint Committee (PJC) on Corporations and Financial Services' ...

Westpac Online launches intl CFDs

ELISE BURGESS  |  WEDNESDAY, 16 FEB 2011
... CFD position can be held indefinitely," Staltari said. Yet actions from the Australian Securities and Investments Commissions (ASIC) in November last year have threatened the growth of the CFD. Australia's CFD market, reportedly the second largest globally ...

ASIC catches Camelot Derivatives

ASIC RELEASE  |  TUESDAY, 8 FEB 2011
... its sole director, Neil Walter King, consent to interim injunctions brought by Australian Securities and Investments Commissions (ASIC). Camelot is a dealing company specialising in the trading of international index options, allowing investors to trade ...

Fin services escapes consumer law reform

ALEX DUNNIN  |  TUESDAY, 17 FEB 2009
... where consumer protections are assigned to overlapping jurisdictions of the Australian Securities and Investments Commissions (ASIC) and the Australian Prudential Regulation Authority (APRA). The exemption is one of the fundamental weaknesses in how ...
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