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Showing 451 - 460 of 2080 results for "Australian Securities"

Findex close to acquiring Crowe Howarth

MARK SMITH  |  TUESDAY, 7 OCT 2014
... with the terms of the scheme implementation agreement. The details of the agreement are available on the Australian Securities Exchange (ASX).

Accountant pays $10,000 fine for $100,000 fraud

LAURA MILLAN  |  FRIDAY, 3 OCT 2014
... from May 2010 until March 2013, when he voluntarily cancelled it and refunded $100,000 to the investor. The Australian Securities and Investments Commissions (ASIC) brought the matter to the Perth District Court and Commissioner John Price said: "ASIC ...

Poor advice forces changes to SMSF practice

LAURA MILLAN  |  THURSDAY, 2 OCT 2014
... poor advice to clients. Melbourne-based Interprac Financial Planning agreed to address concerns from the Australian Securities and Investments Commission (ASIC) by putting in place a number of changes. The new processes include appointing a compliance ...

ASIC suspends advice firm for three months

LAURA MILLAN  |  WEDNESDAY, 1 OCT 2014
The Australian Securities and Investments Commission (ASIC) has suspended a boutique financial planning practice for three months after it failed to comply with its compliance obligations. Protect Ensure, with offices in Brisbane and Sydney, has had ...

Misleading PDS costs NAB $10,200

LAURA MILLAN  |  WEDNESDAY, 1 OCT 2014
... product disclosure statement (PDS) has seen National Australia Bank (NAB) get a $10,200 penalty from the Australian Securities and Investments Commission (ASIC). The regulator was concerned that the PDS for the NAB Annuity Term Deposit to retail investors ...

Ridout made honorary Doctor of Business

JAMES FERNYHOUGH  |  MONDAY, 29 SEP 2014
... Officer of the Order of Australia. Ridout, who is also on the boards of the Reserve Bank of Australia, the Australian Securities Exchange, Image Networks Holdings, Sims Metal Management, Australian Chamber Orchestra to Asialink, Advance Australia Advisory ...

Coalition Senators head-to-head over FoFA

LAURA MILLAN  |  FRIDAY, 26 SEP 2014
... legislation. In July 2013, he also tabled the request to start a Senate inquiry into the performance of the Australian Securities and Investments Commission (ASIC), following a number of media reports that revealed cases of bad advice within Commonwealth ...

FSC advice regulation plan leaves AMP cold

LAURA MILLAN  |  THURSDAY, 25 SEP 2014
... to the Parliamentary Joint Committee (PFC) inquiry on adviser education and professional standards, the Australian Securities and Investments Commission (ASIC) expressed concern about the idea of self-regulation and said that professional bodies have ...

ASIC bans person who made false Facebook investment claims

JAMES FERNYHOUGH  |  THURSDAY, 25 SEP 2014
... had access to an exclusive deal involving the Facebook initial public offering. An investigation by the Australian Securities and Investments Commission (ASIC) found that Ishan Seenar Sappideen of Bellevue Hill "misled investors, created false documents ...

FPA rejects FSC adviser regulation plans

ALICE URIBE, LAURA MILLAN  |  WEDNESDAY, 24 SEP 2014
... register of advisers. The proposed board would include representatives from industry participants such as the Australian Securities and Investments Commission (ASIC), the Tax Practitioners Board (TPB), a representative from each of the applicable advice ...