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Showing 3161 - 3170 of 6696 results for "Securities"

ASIC targets SMSF confidence tricksters

MARK SMITH  |  THURSDAY, 11 APR 2013
The Australian Securities and Investment Commission (ASIC) will target 'unscrupulous' advisers trying to make quick money out of the fast-growing self-managed superannuation fund (SMSF) industry. Addressing a packed room at the Hilton Hotel in Sydney ...

Market Wrap

AAP  |  THURSDAY, 11 APR 2013
... ongoing weakness in the world's number two economy, still struggling to recover from slower growth last year. Dongxing Securities analyst Sun Zheng said the data showed "external demand still remains weak, which is widely known to the market". But he ...

ASIC suspends licence of LM Investment

LAURA MILLAN  |  WEDNESDAY, 10 APR 2013
The Australian Securities and Investments Commission (ASIC) has suspended the Australian financial services licence (AFSL) of LM Investment Management Limited for two years following the company's voluntary administration. The AFSL suspension allows ...

ASIC accepts enforceable undertaking from City Index

LAURA MILLAN  |  WEDNESDAY, 10 APR 2013
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking from City Index Australia (CIA), which will appoint an independent expert to review the business and develop a plan to rectify the deficiencies. The ...

Bloomberg to make disclosure announcements via Twitter

ALEX DUNNIN  |  FRIDAY, 5 APR 2013
... used for corporate disclosures as long as investors have been told which social media platform will be used, the US Securities and Exchange Commission (SEC) announced. The ruling applies to social media and other emerging digital communications platforms ...

Halifax to fix deficiencies after ASIC review

ALICE URIBE  |  FRIDAY, 5 APR 2013
... Halifax Investment Services (Halifax) will appoint an independent consultant to review its business after the Australian Securities and Investments Commission (ASIC) found deficiencies in the business. ASIC accepted an enforceable undertaking (EU) and ...

CFS FirstWrap enhances corporate actions feature

MARK SMITH  |  THURSDAY, 4 APR 2013
... their clients. A series of recent upgrades to the platform, including improving reporting and enhancing its listed securities research, has seen CFS Wrap reclaim the top spot in Investment Trends' platform rankings. CFS aims to build on its recent success ...

Securities dealer scales back after ASIC review

LAURA MILLAN  |  THURSDAY, 4 APR 2013
Securities dealer Clearing & Settlement Services (CSS) has downsized its operations after the Australian Securities and Investments Commissions (ASIC) found it had failed to comply with conditions of its Australian Financial Services licence (AFSL). ...

ASIC chair appointed to IOSCO

LAURA MILLAN  |  TUESDAY, 2 APR 2013
Greg Medcraft, the chair of the Australian Securities and Investments Commission, was appointed chair of the global peak body that represents 32 securities regulatory authorities. Medcraft took over as chair of the International Organization of Securities ...

MDA guidance review will bring coherence and consistency

LAURA MILLAN  |  THURSDAY, 28 MAR 2013
Advisers and fund managers welcome the Australian Securities and Investments Commission (ASIC) review of Managed Discretionary Accounts (MDA) guidance as it will bring coherence and consistency to an under-regulated sector. "The review is a good thing ...