The latest issue of Financial Standard now available as an e-newspaper

READ NOW

Search Results

Showing 11 - 20 of 49 results for "Jan Redfern"

Broker gets jail term for forgery

... serious consequences, including jail. We are determined to pursue those who misuse their positions of trust", said Jan Redfern, ASIC's executive director of enforcement. Michelle Baltazar

Former NAB adviser gets 8 years

HAMISH MADDEN | MONDAY, 6 NOV 2006

... Strategic Investments Group, controlled by Drakos. The funds were then used for a number of failed business ventures. Jan Redfern, ASIC's executive director of enforcement, said that planners held a position of trust and the penalties for those who breached ...

Property promoter gets life ban and $1.1m penalty

... returns. Time and time again, ASIC sees people losing their hard earned money by investing in illegal schemes," said Jan Redfern, ASIC's executive director of enforcement She added, "Our message to would-be investors is to always check that the people ...

Super roll-over promoter to serve time

HAMISH MADDEN | MONDAY, 25 SEP 2006

... retirement after the age of 55 or pursuant to other limited legislative criteria. ASIC's executive director of enforcement, Jan Redfern, said the jail sentence served as a stern warning for those who were dishonestly advising on super roll-overs. "ASIC ...

Advice scam nets accountant 8 years inside

HAMISH MADDEN | TUESDAY, 19 SEP 2006

... of theft and 30 counts of fraud allegedly committed between 1986 and 1991, involving approximately CAD$9.7 million. Jan Redfern, executive director of enforcement for ASIC, reiterated the regulator's front foot stance on matters of dishonesty or fraud. ...

Another Elm associate banned by ASIC

HAMISH MADDEN | TUESDAY, 11 JUL 2006

... this a warning. ASIC will pursue those who set out to prey on the community," ASIC's executive director, enforcement, Jan Redfern said last year. "Furthermore, individuals and organisations that create a culture where compliance with the law is neglected ...

Directors banned over unregistered schemes

... it was not alleged that they had misappropriated funds for their own use. ASIC's executive director of enforcement, Jan Redfern, said the action was taken in the public interest and as a deterrent to other offenders. "ASIC will continue to take action ...

Investors get money back from failed mortgage scheme

HAMISH MADDEN | WEDNESDAY, 31 MAY 2006

... deceptive conduct in relation to the promotion of solicitors mortgage investments, and related insurance issues', said Jan Redfern, ASIC's executive director of enforcement. "Fortunately these schemes are no longer a significant issue because all such ...

Super adviser loses license after ASIC super switching survey

... properly manage conflicts of interest to ensure that they put the interests of their clients above their own," said Jan Redfern, ASIC's executive director of enforcement. Adding to this, SMS Advising Group also failed to provide statements of advice ...

ASIC clarifies its powers

... "ASIC would like to ensure that investors have confidence in the advice they receive from financial planners," said Jan Redfern, ASIC executive director of enforcement. "To achieve that aim, ASIC will take action to deter financial services participants ...

PAGE:

Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

Videos

Brought to you by

Global economic outlook and the case for local currency emerging market debt: Resilience, risk, and opportunity

The market has changed. The opportunity hasn't.

SMILE through retirement - tackling the top 5 (Sequencing, Market, Inflation, Longevity, Emotion) retirements risks

Strength amid noise

Follow the leaders

Maintaining a fundamental focus in a world obsessed with the short term

A guaranteed future

MORE VIDEOS

Products

'Guide To' Series

Pocket investment guides featuring adviser case studies and a glossary.

MORE INFO

Publisher's Forum

Investing trends and strategies from the industry’s thought leaders.

MORE INFO

Product Showcases

Putting the spotlight on investment products that matter.

MORE INFO

Expert Feed

Christian Mueller-Glissmann

Head of Asset Allocation Research

Goldman Sachs

When geopolitics becomes a portfolio risk

Geopolitics is back - again - and Australian investors can no longer treat it as distant background noise.

READ MORE

Tania Milnes

General Manager Membership

Financial Advice Association Australia

Does association membership still matter?

With all the changes the advice sector has experienced in recent years, such as regulatory reform and increased education and professional standards ...

READ MORE