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Showing 391 - 400 of 2080 results for "Australian Securities"

Medcraft backs national adviser exam

MARK SMITH  |  TUESDAY, 13 JAN 2015
Australian Securities and Investments Commission (ASIC) chairman Greg Medcraft has come out in support of a new national exam for financial advisers. Medcraft backed the proposal in an op-ed published in the Australian Financial Review. "I strongly ...

ASIC imposes conditions on Guardian Advice

STAFF WRITER  |  WEDNESDAY, 7 JAN 2015
The Australian Securities and Investments Commission (ASIC) has imposed conditions on the licence of Suncorp-owned Guardian Advice following a surveillance which uncovered deficiencies in the advice it provided to retail clients. ASIC said the company ...

Avestra fined for breaching takeover laws

HARRY PAGE  |  THURSDAY, 18 DEC 2014
... Avestra Asset Management has been convicted and fined $40,000 for breaching takeover laws according to the Australian Securities and Investments Commission (ASIC). Avestra Asset Management failed to notify the market it had acquired a substantial stake ...

ASIC cancels boutique's AFSL

HARRY PAGE  |  THURSDAY, 18 DEC 2014
... Boutique Protect Ensure Pty Ltd has had its Australian financial services (AFS) licence cancelled by the Australian Securities and Investments Commission (ASIC) following a suspension of its licence earlier this year. ASIC suspended Protect Ensure's ...

ASIC acts on 440 SMSF auditors

LAURA MILLAN  |  THURSDAY, 18 DEC 2014
... pass a competency exam necessary to retain their registration have seen their registration cancelled by the Australian Securities and Investments Commission (ASIC). ASIC has also disqualified two SMSF auditors whose application for registration had overstated ...

FEATURE: 2014 year in review

MARK SMITH, LAURA MILLAN, JAMES FERNYHOUGH  |  FRIDAY, 12 DEC 2014
... Wisdom (FW) customers being made public by the Senate Economics Committee inquiry into the performance of the Australian Securities and Investments Committee (ASIC). The inquiry, chaired by Labor Senator Mark Bishop, grilled ASIC commissioners and CBA ...

ASIC accepts EU from Victorian adviser

HARRY PAGE  |  THURSDAY, 11 DEC 2014
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking (EU) from former Professional Investment Services (PIS) representative Seamus O'Brien. O'Brien previously traded as Cambridge Financial Planning in South ...

Inquiry asks for greater simple bond red tape reduction

MARK SMITH  |  MONDAY, 8 DEC 2014
... disclosures. The Inquiry has initially suggested the new regime only apply to the largest 150 companies on the Australian Securities Exchange (ASX). It said the government could consider extending it to smaller companies after a period of two years. ...

Make financial firms more accountable for products: FSI

ALICE URIBE  |  SUNDAY, 7 DEC 2014
Making financial firms more accountable for the design and distribution of products and giving the Australian Securities and Investments Commission (ASIC) increased powers to safeguard consumers were central recommendations in the final report of the ...

Murray calls for ASIC to have more money and power

MARK SMITH  |  SUNDAY, 7 DEC 2014
The Australian Securities and Investments Commission (ASIC) should be given greater powers and more money to do its job. Those were the recommendations laid out by David Murray in his final report to the Financial System Inquiry (FSI). "Regulators' ...