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Showing 451 - 460 of 479 results for "ASIC Commissioner"

ASIC cancels two financial services licences

CLAIRE MCGREAL  |  FRIDAY, 25 NOV 2011
... encourage all AFS licensees to consider whether they need to review and raise their own compliance standards," said ASIC commissioner Peter Kell. Ferguson has the right to appeal to the Administrative Appeals Tribunal for a review of ASIC's decision

ASIC suspends Far East AFSL

CLAIRE MCGREAL  |  TUESDAY, 25 OCT 2011
... is central to the informed and confident participation of consumers in the financial services markets", said ASIC commissioner, Dr Peter Boxall. "ASIC has a program in place to follow up license holders regarding lodgement of their accounts, which seeks ...

Fraud firm masquerades as financial advisors: ASIC alert

ALISON BEVEGE  |  THURSDAY, 18 AUG 2011
... account managed by a company broker. ASIC said those who took up the trial could not get their money out again. ASIC Commissioner Dr Peter Boxall said investors need to be cautious when offered unsolicited investment advice. 'Potential investors should ...

ASIC commissioner new chief of FOS

ELISE BURGESS  |  TUESDAY, 2 AUG 2011
ASIC commissioner, Shane Tregillis, was appointed as new chief of the Financial Ombudsman Service, replacing departing chief Colin Neave. Tregillis will move into the Melbourne-based role from August 26. Neave did not move to be reappointed into the ...

ASIC heats up insider trading investigations

ELISE BURGESS  |  THURSDAY, 14 JUL 2011
... of the market and by taking pre-emptive action to prevent possible market misconduct," said Shane Tregillis, ASIC Commissioner. Particular areas of concern were corporate advisers failing to have the right controls in place to protect price sensitive ...

ASIC warns of $15,000 EOFY countdown

ELISE BURGESS  |  MONDAY, 6 JUN 2011
... information seriously and we'll continue to take action to send a message to the market," said Dr Peter Boxall, ASIC Commissioner. Sparking the reminder, Victorian public company, Fulcrum Equity Limited was fined $15,000 by the Melbourne Magistrates ...

Dark pools attract larger trades and ASIC

ELISE BURGESS  |  THURSDAY, 2 JUN 2011
... range of participants. However, in an address at the Stockbrokers Association of Australia Conference on May 26, ASIC commissioner, Shane Tregillis, compared dark pools to a pulp fiction, hearing the Jaws theme music every time he thinks of the term ...

Swan names new ASIC, ACCC heads

ELISE BURGESS  |  WEDNESDAY, 4 MAY 2011
ASIC commissioner Greg Medcraft and economist Rod Sims have been recommended as new regulatory heads by Treasurer Wayne Swan. In a statement from the Treasury, current ASIC commissioner Greg Medcraft has been put forward as the next ASIC chairman in ...

ASIC call to improve planner education

ELISE BURGESS  |  WEDNESDAY, 6 APR 2011
... consumer confidence in the financial advice industry and to encourage professionalism," said Greg Medcraft, ASIC Commissioner. The recommendations follow the ASIC review of RG 146 and consultations with industry associations. Deen Sanders, deputy chief ...

ASIC starts shadow shopping

ELISE BURGESS  |  MONDAY, 21 MAR 2011
... retirement and get quality retirement advice to make the most of their retirement savings," said Greg Medcraft, ASIC Commissioner. An expert reference group from both industry and consumer groups will assist ASIC to determine what is 'quality' advice ...