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Showing 351 - 360 of 1365 results for "Australian Securities and Investments Commission"

Former finance broker convicted for fraud

STAFF WRITER  |  THURSDAY, 29 MAY 2014
... has been convicted of two fraud charges, following an investigation from the Australian Securities and Investments Commission (ASIC). Riyanka Puteri Shiraz, of Canterbury, New South Wales, admitted to using the identities of former clients to defraud ...

CBA and ASIC "sketchy" info delays inquiry conclusion

LAURA MILLAN  |  WEDNESDAY, 28 MAY 2014
... Economics Committee to delay the tabling of its final report in the inquiry into the Australian Securities and Investments Commission (ASIC). The committee has issued an interim report signed by its chair, Senator Mark Bishop, referring to ASIC and Commonwealth ...

Senate Committee forced to delay tabling of ASIC report

LAURA MILLAN  |  WEDNESDAY, 28 MAY 2014
... forced the Senate Economics Committee to delay the tabling of the report into the Australian Securities and Investments Commission (ASIC). The committee's chair Mark Bishop said on Twitter that a two-page interim report delaying the tabling of the final ...

IFS caught investing in unregistered schemes

LAURA MILLAN  |  WEDNESDAY, 28 MAY 2014
Industry Fund Services (IFS) has breached an Australian Securities and Investments Commission (ASIC) class order by incorrectly investing client funds into an unregistered managed investment scheme. IFS recently changed their investment options after ...

CBA leads on client satisfaction despite planning scandals

LAURA MILLAN  |  TUESDAY, 27 MAY 2014
... the media over the last few months and have even prompted an inquiry into the Australian Securities and Investments Commission (ASIC) for its failure to address the issues. The survey found that client satisfaction with CBA is higher among clients aged ...

ASIC warns of complacency over confidential information

MARK SMITH  |  TUESDAY, 27 MAY 2014
The Australian Securities and Investments Commission (ASIC) has found little evidence of selective disclosure of market sensitive information at analyst briefings but has warned companies not to become complacent. In 2013, ASIC looked at the handling ...

FPA reveals 10 point plan to improve advice

LAURA MILLAN  |  FRIDAY, 23 MAY 2014
... information." It also asked for the establishment of a public register managed by the Australian Securities and Investments Commission (ASIC). According to the FPA, ASIC "should have suspension powers for financial planners and advisers suspected of ...

MySuper dashboards, ASIC warns trustees

ALICE URIBE  |  THURSDAY, 22 MAY 2014
Following a regulatory review of MySuper product dashboards, the Australian Securities and Investments Commission (ASIC) has issued extra guidance to superannuation trustees about how they need to be handled. The guidance update focuses on how the dashboards ...

ASIC bans former Westpac trader

LAURA MILLAN  |  WEDNESDAY, 21 MAY 2014
... exchange and cross currency swaps on behalf of Westpac. An investigation of the Australian Securities and Investments Commission (ASIC) found that he entered more than 100 fictitious trading entries including off-market trades that created the false ...

CBA forced to review poor compensation methods

LAURA MILLAN  |  MONDAY, 19 MAY 2014
... after its methods were found to be inconsistent and disadvantaged customers. The Australian Securities and Investments Commission (ASIC) has imposed licence conditions to the Australian financial services licence (AFSL) of both Commonwealth Bank-owned ...