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Showing 3001 - 3010 of 6696 results for "Securities"

Bell Potter adviser banned for dishonest conduct

JAMES FERNYHOUGH  |  TUESDAY, 16 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned Bell Potter adviser Lawson Stuart Donald from providing financial services for dishonest conduct. Donald, who worked for the stockbroking firm between 2003 and 2008 ...

Research houses flag 'rating shopping' to advisers

MARK SMITH  |  MONDAY, 15 JUL 2013
... products from the research process, have moved to publish a list of those managers more prominently. The new Australian Securities and Investments Commission (ASIC) regulatory guidelines, known as RG79, came into force from 1 July and are aimed at preventing ...

Storm claim unfair and baseless: CBA

LAURA MILLAN  |  MONDAY, 15 JUL 2013
... victims' lawyer will start legal proceedings against the $136 million settlement that the bank reached with the Australian Securities and Investments Commission (ASIC) last year. "CBA regards the application as unfair, fundamentally flawed, incompetent ...

Perth broker gets 3 year ban for falsifying documents

LAURA MILLAN  |  FRIDAY, 12 JUL 2013
... Australia, has been banned from engaging in credit activities until 27 June 2016. An investigation from the Australian Securities and Investments Commission (ASIC) found that between November 2010 and September 2011 Schmelzkopf submitted to a lender ...

Gold headed to $3k an ounce says ETF pioneer

JAMES FERNYHOUGH  |  FRIDAY, 12 JUL 2013
... US$3000 an ounce, despite recent downward trends and a current level of around the US$1,200 mark, according to ETF Securities' Graham Tuckwell. Speaking at an event at the ASX marking 10 years since ETF Securities launched the world's first gold exchange ...

Storm lawyers take ASIC and CBA to court over settlement

LAURA MILLAN  |  FRIDAY, 12 JUL 2013
... Financial litigator Levitt Robinson Solicitors have questioned the $136 million settlement reached by the Australian Securities and Investments Commission (ASIC) and Commonwealth Bank last year. Levitt Robinson has filed a case against both organisations ...

Wellington forced to pay ASIC's cost of appeal

LAURA MILLAN  |  FRIDAY, 12 JUL 2013
Wellington Capital will be forced to cover the costs incurred by the Australian Securities and Investments Commission (ASIC) after the regulator brought legal proceedings against the responsible entity of the Premium Income Fund (PIF). The cost of the ...

US regulator lifts hedge fund advertising ban

MARK SMITH  |  FRIDAY, 12 JUL 2013
... 80 years. The ban was intended to protect unsophisticated investors from high risk, illiquid investment pools. The Securities and Exchange Commission (SEC) approved the change by a 4-to-1 vote. Democratic Commissioner Luis Aguilar, who voted against ...

ASIC finalises OTC derivatives reporting rules

MARK SMITH  |  FRIDAY, 12 JUL 2013
The Australian Securities and Investments Commission (ASIC) has issued its final rules around over-the-counter (OTC) derivatives trade reporting for financial institutions. The regime is set out in a package of rules and guidance released by ASIC today ...

BetaShares partners FTSE in new ETF launch

MARK SMITH  |  THURSDAY, 11 JUL 2013
... Australia 200 Index as the basis of its first Australian equity fundamental index ETF, which launches on the Australian Securities Exchange (ASX) today. The BetaShares FTSE RAFI Australia 200 ETF, which will trade under the ASX Code 'QOZ', is an alternatively ...