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Showing 341 - 350 of 472 results for "ASIC Commissioner"

ASIC bans convicted fraud "mastermind"

ALEX BURKE  |  FRIDAY, 22 MAY 2015
... involvement in the serious fraud in the UK was motivated by greed and demonstrates a clear lack of integrity," said ASIC commissioner John Price. "ASIC's ban protects Australian consumers. It will prevent him from ever working in financial services in ...

ASIC seeks more bans in SMSF advice crackdown

ALEX BURKE  |  FRIDAY, 15 MAY 2015
... deliberately deceive investors or misuse investors' money for their own personal benefit are brought to account," said ASIC Commissioner Greg Tanzer. "The experience of the investors in this matter, who have lost in the order of $4.5 million, should ...

ASIC says AUD spike "not misconduct"

ALEX BURKE  |  MONDAY, 4 MAY 2015
... fourth most traded currency pair traded by turnover must be seen to be fair, orderly and transparent," said ASIC commissioner Cathie Armour. "ASIC has as a priority to promote confident and informed participation by investors and consumers in the financial ...

ASIC suspends Dunfo Capital AFSL

ALEX BURKE  |  MONDAY, 16 MAR 2015
... proactively report significant breaches to ASIC within 10 business days, as they are obligated to do," said ASIC Commissioner Greg Tanzer.

ASIC bans former Patersons adviser for life

ALEX BURKE  |  FRIDAY, 13 MAR 2015
... retail operations. "This is an example of ASIC cracking down on inappropriate behaviour by financial advisers," ASIC commissioner John Price said. "ASIC will act to remove those financial advisers from the industry who engage in dishonest conduct." According ...

ASIC bans former Westpac problem gambler

ALEX GAMBOTTO-BURKE  |  FRIDAY, 27 FEB 2015
... names. "Consumers need to have confidence and trust in those providing financial and credit services," said ASIC commissioner Greg Tanzer. "Individuals who fail to operate with integrity and in the best interests of their clients will be removed from ...

ASIC stops Bitcoin miner discussing IPO

ALEX BURKE  |  MONDAY, 16 FEB 2015
... consumers who will not have the benefit of all material information that would be included in a prospectus," ASIC commissioner John Price said. "ASIC expects companies to be fully aware of their obligations regarding advertising or publicity that occurs ...

Avestra fined for breaching takeover laws

HARRY PAGE  |  THURSDAY, 18 DEC 2014
... had acquired a substantial stake in AG Financial Limited and pleaded guilty to breaching takeover provisions. ASIC commissioner Cathie Amour said the identity of major shareholders of a public company should be known to investors. "ASIC expects businesses ...

ASIC acts on 440 SMSF auditors

LAURA MILLAN  |  THURSDAY, 18 DEC 2014
... in popularity with Australian investors, it is critical that SMSF auditors play their key gatekeeping role," ASIC commissioner Greg Tanzer said. "ASIC will continue to administer the registration process to assure Australians that SMSF auditors at least ...

FEATURE: 2014 year in review

MARK SMITH, LAURA MILLAN, JAMES FERNYHOUGH  |  FRIDAY, 12 DEC 2014
This year has been another busy one for the financial servives industry. FoFA remained on the radar and the Financial System Inquiry has the potential to change things in a big way. The Financial Standard team takes a look at the issues that made waves ...