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Showing 471 - 480 of 2080 results for "Australian Securities"

Merrill Lynch Equities Australia handed $96,000 fine

MARK SMITH  |  FRIDAY, 12 SEP 2014
... a $96,000 fine to comply with an infringement notice given to it by the Markets Disciplinary Panel. The Australian Securities and Investments Commission (ASIC) said the company received the penalty for failing to have in place an appropriate automated ...

Forget about national advice exam, focus on training: CPA

LAURA MILLAN  |  THURSDAY, 11 SEP 2014
... to provide quality financial advice. The document acknowledged that previous consultation papers by the Australian Securities and Investments Commission (ASIC) in 2011 and 2013 have proposed lifting the current minimum standards. However, they have failed ...

FIIG to manage $50m bond issue for 360 Capital

MARK SMITH  |  TUESDAY, 9 SEP 2014
... professional and sophisticated investors. No prospectus or other disclosure document will be lodged with the Australian Securities and Investment Commission or any other regulatory body. FIIG is acting as lead arranger. 360 Capital's managing director ...

Bipartisan Senate inquiry to grill financial services again

LAURA MILLAN  |  FRIDAY, 5 SEP 2014
... inquiry will continue the task of last year's Senate Economics Committee inquiry into the performance of the Australian Securities and Investments Commission (ASIC). The new Senate investigation will continue to look at the regulator's performance and ...

HUB24 hits $1bn milestone amid rapid growth

LAURA MILLAN  |  THURSDAY, 4 SEP 2014
... figure that has increased to over $1 billion in less than a week. HUB24, which was recently listed in the Australian Securities Exchange (ASX), made public its annual results last week and reported that platform revenue growth in financial year 2014 ...

Coffey to raise $40 million via bond market

MARK SMITH  |  WEDNESDAY, 3 SEP 2014
... sophisticated investors. No prospectus or other disclosure documents in relation to the bond will be lodged with the Australian Securities and Investment Commission or any other regulatory authority.

Senate bill challenges general advice definition

LAURA MILLAN  |  TUESDAY, 2 SEP 2014
... clear up the misconception." Whish-Wilson was a member of the Senate Economics Committee inquiry into the Australian Securities and Investments Commission (ASIC) that unveiled cases of poor advice and alleged fraudulent behaviour within Commonwealth ...

Body needed to monitor adviser competency: FSC

LAURA MILLAN  |  TUESDAY, 2 SEP 2014
... Financial System Inquiry (FSI). The board should 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 ...

Matrix merger to place ClearView among top 10 licensees

LAURA MILLAN  |  MONDAY, 1 SEP 2014
... group. On September 2, the target's statement and the bidder's statement is expected to be lodged with the Australian Securities and Investments Commission (ASIC) and sent to Matrix shareholders. The offer is expected to close on October 4. Several of ...

FSI flooded with second round submissions

ALICE URIBE  |  FRIDAY, 29 AUG 2014
... big financial services players including Macquarie and the Commonwealth Bank of Australia (CBA) and the Australian Securities and Investments Commission (ASIC) have already been published. They cover responses to the Interim Report which discussed the ...