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Showing 351 - 360 of 479 results for "ASIC Commissioner"

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 ...

ASIC begins legal action against LM Investment Management

MARK SMITH  |  THURSDAY, 20 NOV 2014
... development, no plans of subdivision had been registered and none of the proposed housing lots had been sold. ASIC commissioner Greg Tanzer said: "Investors should be able to have confidence that the people responsible for managing their investments ...

ASIC takes SMSF property spruikers to court

LAURA MILLAN  |  WEDNESDAY, 12 NOV 2014
... interests of clients, a duty to avoid conflicts of interest and providing access to dispute resolution schemes," ASIC commissioner Greg Tanzer said The first hearing of the matter is listed for 26 November 2014.

Share trader jailed over $260,000 fraud

LAURA MILLAN  |  MONDAY, 3 NOV 2014
... prosecuted the matter following an investigation by the Australian Securities and Investments Commission (ASIC). ASIC commissioner John Price said: "Jones acted with complete disregard to the law and now must deal with the consequences of his behaviour." ...