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Showing 421 - 430 of 2086 results for "Australian Securities"

Increased record keeping provisions for advisers

LAURA MILLAN  |  TUESDAY, 18 NOV 2014
... consultant Sonia Cruz said that the new Future of Financial Advice (FoFA) requirements make it clear that the Australian Securities and Investments Commission (ASIC) believes good record keeping systems support the ongoing provision of quality advice ...

Prosecution drops charges against Storm adviser

LAURA MILLAN  |  MONDAY, 17 NOV 2014
... death of an elderly prosecution witness whose evidence was considered to be vital in proving its case. The Australian Securities and Investments Commission (ASIC) informed that the witness' death forced a reassessment of the evidence and that "other ...

Unlicensed Torquay adviser gets 7 year ban

LAURA MILLAN  |  MONDAY, 17 NOV 2014
... Capital Scott Logan has been banned for providing financial services for seven years. An investigation by the Australian Securities and Investments Commission (ASIC) found that between April 2011 and June 2013 the company trading as Coast Capital traded ...

Advisers confirm SMSF appetite for LICs

STAFF WRITER  |  MONDAY, 17 NOV 2014
... is one of the main drivers behind the resurgence of LICs. The capacity to buy directly and trade on the Australian Securities Exchange (ASX) was equally seen as a major driver (57%) and 37% attributed it to a greater understanding of the benefits of ...

ASIC to watch CBA advisers closely

LAURA MILLAN  |  FRIDAY, 14 NOV 2014
The Australian Securities and Investments Commission (ASIC) has appointed a compliance expert to examine the performance of advisers at Commonwealth Financial Planning and Financial Wisdom. KordaMentha Forensic will review past activities by Commonwealth ...

ASIC intervenes non-compliant Aurora listed funds

LAURA MILLAN  |  FRIDAY, 14 NOV 2014
Aurora Funds Management has entered into an enforceable undertaking (EU) with the Australian Securities and Investments Commission (ASIC) after the regulator identified compliance failings in some of its listed investment schemes. ASIC is concerned ...

ASIC takes SMSF property spruikers to court

LAURA MILLAN  |  WEDNESDAY, 12 NOV 2014
The Australian Securities and Investments Commission (ASIC) has sought court orders against an unlicensed property investment promoter based in New South Wales. Park Trent Properties Group is carrying on an unlicensed financial services business and ...

Gold Coast advice firm enters EU over misleading ads

LAURA MILLAN  |  TUESDAY, 11 NOV 2014
... property management business Equanimity Concepts has entered into an enforceable undertaking (EU) with the Australian Securities and Investments Commission (ASIC). The regulator found that from January 2012 to July 2014 Equanimity advertised that consumers ...

Spring FG set to launch IPO

LAURA MILLAN  |  FRIDAY, 7 NOV 2014
... key acquisitions during the past few months. Spring FG is working towards lodging a prospectus with the Australian Securities and Investments Commission (ASIC) by the end of November or early December and expects the company to list on the Australian ...

Sophisticated investor register launched

MARK SMITH  |  THURSDAY, 6 NOV 2014
... increasing focus on the efficiency and integrity of Australia's consumer financial services system by the Australian Securities and Investments Commission (ASIC) and the Financial System Inquiry. In developing Cygura, Sophisticated Access worked closely ...