Search Results | Showing 21 - 30 of 56 results for "Redfern" |
| | | ... this a warning. ASIC will pursue those who set out to prey on the community," ASIC's executive director, enforcement, Jan Redfern said last year. "Furthermore, individuals and organisations that create a culture where compliance with the law is neglected ... |
| | | | ... it was not alleged that they had misappropriated funds for their own use. ASIC's executive director of enforcement, Jan Redfern, said the action was taken in the public interest and as a deterrent to other offenders. "ASIC will continue to take action ... |
| | | | ... deceptive conduct in relation to the promotion of solicitors mortgage investments, and related insurance issues', said Jan Redfern, ASIC's executive director of enforcement. "Fortunately these schemes are no longer a significant issue because all such ... |
| | | | ... properly manage conflicts of interest to ensure that they put the interests of their clients above their own," said Jan Redfern, ASIC's executive director of enforcement. Adding to this, SMS Advising Group also failed to provide statements of advice ... |
| | | | ... "ASIC would like to ensure that investors have confidence in the advice they receive from financial planners," said Jan Redfern, ASIC executive director of enforcement. "To achieve that aim, ASIC will take action to deter financial services participants ... |
| | | | ... a clear message that people in positions of trust, who misuse investors funds, will not be treated lightly," said Jan Redfern, ASIC's Executive Director of Enforcement. |
| | | | ... with ASIC's statement crediting the four funds for their full cooperation. ASIC's Executive director of enforcement, Jan Redfern, reminded funds that the key drive for changes is to ensure consumer understanding and informed decisions. "Superannuation ... |
| | | | ... interests. We have strengthened our unit pricing processes and controls, incorporating the recommendations of PwC." Jan Redfern, ASIC's Executive Director of Enforcement said, "This outcome continues ASIC's work with the financial services industry to ... |
| | | | ... involved in setting up and managing self-managed superannuation funds," says ASIC executive director of enforcement Jan Redfern. ASIC warns that people considering SMSFs should do so from an adviser who is holder of an AFSL as well as understand that ... |
| | | | ... trustees is critical, particularly in situations where members are exercising choices based on that information," said Jan Redfern, ASIC's Executive Director of Enforcement. Penn has denied any wrongdoing although he has stepped aside as head of Axa's ... |
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