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Showing 401 - 410 of 2086 results for "Australian Securities"

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' ...

Financial System Inquiry recommendations wrap

STAFF WRITER  |  SUNDAY, 7 DEC 2014
... respect of staffing and funding, and require them to undertake periodic capability reviews. Strengthening the Australian Securities and Investments Commission's funding and powers: Introduce an industry funding model for the Australian Securities and ...

Medcraft furious over "absolutely appalling" advice

LAURA MILLAN  |  THURSDAY, 4 DEC 2014
Australian Securities and Investments Commission (ASIC) chairman Greg Medcraft said that despite the regulators' efforts, he still had no confidence in the financial advice industry. Speaking at the National Press Club yesterday, Medcraft said the regulator's ...

Senate grills ASIC after it blocks 250,000 websites

LAURA MILLAN  |  TUESDAY, 2 DEC 2014
The Australian Securities and Investments Commission (ASIC) will face a Senate grilling after blocking a quarter of a million websites when it was seeking to prevent access to sites associated with investment fraud. A public hearing by the Senate Communications ...

Brisbane adviser pleads guilty to $9 million fraud

LAURA MILLAN  |  FRIDAY, 28 NOV 2014
... financial services for eight years, but under the enforceable undertaking (EU) that he has entered with the Australian Securities and Investments Commission (ASIC) he will be able to manage a company again in 18 months.