Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 371 - 380 of 2080 results for "Australian Securities"

AMP practice to pay $10,200 penalty

LAURA MILLAN  |  THURSDAY, 12 MAR 2015
... Victoria-based Australian Financial Planning Solutions (AFPS) has been hit with $10,200 in penalties after the Australian Securities and Investments Commission (ASIC) issued an infringement notice for making false or misleading representations. ASIC's ...

Perennial to raise capital for Aussie equities LIC

LAURA MILLAN  |  THURSDAY, 12 MAR 2015
Perennial Value Management is set to launch its Wealth Defender Equities to the Australian Securities Exchange (ASX) as a listed investment company (LIC). The fund follows Perennial's Wealth Defender investment strategy, based on a diversified portfolio ...

Spring lists on ASX

MARK SMITH  |  TUESDAY, 10 MAR 2015
Spring Financial Group has officially listed on the Australian Securities Exchange. According to the ASX, the company raised approximately $4,450,000 in its initial public offering. Spring provides financial planning, wealth management, insurance, superannuation ...

OneVue's platform FUA rise 45%

LAURA MILLAN  |  MONDAY, 2 MAR 2015
... on acquisitions and restructuring and $156,000 on the initial public offering prior to its listing on the Australian Securities Exchange (ASX). "Our results are on track with expectations and come alongside other important operational milestones for ...

Advisers scramble to gather ASIC register data

LAURA MILLAN  |  MONDAY, 2 MAR 2015
... currently "collecting all the information they can in the time that is available." The first phase of the Australian Securities and Investments Commission (ASIC) public register of financial advisers demands that advisers submit a five year history of ...

Westpac, Count on ASIC radar over complex product advice

LAURA MILLAN  |  TUESDAY, 24 FEB 2015
... Count Financial are among the 10 licensees forced to undertake corrective action following concerns by the Australian Securities and Investments Commission (ASIC) concerns about financial advice relating to complex products. In December 2013 ASIC identified ...

Nationals pressure Treasury for RC into white collar crime

LAURA MILLAN  |  MONDAY, 23 FEB 2015
... is the Senator who tabled the motion for a Senate Economics Committee inquiry into the performance of the Australian Securities and Investments Commission (ASIC) in mid-2013. The inquiry revealed a number of cases of failed financial advice, especially ...

SMSFs attract too much criticism

MARK SMITH  |  THURSDAY, 19 FEB 2015
... rules," he said. "The rules are there to protect members against themselves." He also admitted that a recent Australian Securities and Investments Commission (ASIC) investigation into the quality of SMSF advice had unearthed too many problems. "We still ...

Advice register more detailed than expected

LAURA MILLAN  |  WEDNESDAY, 18 FEB 2015
... services licensee" (advice firm employees and authorised representatives) will also have to provide the Australian Securities and Investments Commission (ASIC) with information. The register will include the provider's name, date and place of birth ...

ASIC ends Macquarie EU but sees gaps in advice files

LAURA MILLAN  |  FRIDAY, 13 FEB 2015
Macquarie Equities Limited advice files have gaps and require further testing, the Australian Securities and Investments Commission (ASIC) said as the two year enforceable undertaking (EU) into the organisation's advice arm comes to an end. "While there ...