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Showing 361 - 370 of 1464 results for "Investments Commission"

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 ...

Cuts to ASIC and ATO push industry to self-regulation

LAURA MILLAN  |  WEDNESDAY, 14 MAY 2014
Budget cuts to the Australian Securities and Investments Commission (ASIC) and the Australian Taxation Office (ATO) will force the industry to rely more on self-regulation. The budget is contemplating cuts of $142.8 million over the next three years ...

CFA Societies launches initiative to raise ethical standards

MARK SMITH  |  MONDAY, 12 MAY 2014
... improving confidence in the financial services industry. The body praised the Australian Securities and Investments Commission (ASIC) for taking steps to improve the quality of advice offered to retail clients by enhancing the minimum training standards ...

NAB and ABS employees arrested for insider trading fraud

LAURA MILLAN  |  FRIDAY, 9 MAY 2014
... trading and abuse of public office. The charges follow a joint investigation of the Australian Securities and Investments Commission (ASIC) and the Australian Federal Police (AFP). Officials from both institutions told the media that the two would have ...

Blue Sky launches first listed investment company

MARK SMITH  |  WEDNESDAY, 7 MAY 2014
... manager. A prospectus (Prospectus) in respect of the offer has been lodged with the Australian Securities and Investments Commission and is available at blueskyfunds.com.au/accessfund.

New reports to stir financial planning perfect storm

LAURA MILLAN  |  MONDAY, 5 MAY 2014
... to the Future of Financial Advice (FoFA) law and by the Senate inquiry to the Australian Securities and Investments Commission (ASIC). The program is expected to unveil the practices of rogue financial advisers within Commonwealth Bank planning arm ...

Virgin Money cops fine for misleading direct insurance ads

MARK SMITH  |  WEDNESDAY, 30 APR 2014
... in penalties after some of its advertisements fell foul of the regulator. The Australian Securities and Investments Commission (ASIC) issued three infringement notices for misleading online and television advertising, with each infringement notice carrying ...

ASIC cancels two more AFSL licences

LAURA MILLAN  |  MONDAY, 28 APR 2014
The Australian Securities and Investments Commission (ASIC) has cancelled the Australian financial services licence (AFSL) of a Parramatta insurance broker and of Banksia Mortgages. The Parramatta-based WD Gelle Insurance & Finance Brokers' licence ...

FEATURE: Re-imagining Australia's financial future

STAFF WRITERS  |  THURSDAY, 24 APR 2014
... Australian Prudential Regulation Authority (APRA), and the current form of the Australian Securities and Investments Commission (ASIC). And now it seems, after the structural changes brought about by the global financial crisis, another investigation ...