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Showing 491 - 500 of 1464 results for "Investments Commission"

Wealthsure adviser guilty to criminal charges

LAURA MILLAN  |  WEDNESDAY, 21 AUG 2013
... WealthSure financial adviser has pleaded guilty to 22 criminal charges following an Australian Securities and Investments Commission (ASIC) investigation. Appearing in the Sydney District Court, Brian William Veitch, formerly of Minto, New South Wales ...

Hybrids must better convey risk: ASIC

JAMES FERNYHOUGH  |  TUESDAY, 20 AUG 2013
The Australian Securities and Investments Commission (ASIC) is cracking down on the misleading marketing of hybrid securities. ASIC has criticised what it terms "misleading labelling" and "unwarranted comparison" of hybrids to less risky products such ...

ASIC mulls replacing adviser Training Register

ALICE URIBE  |  MONDAY, 19 AUG 2013
The Australian Securities and Investments Commission is considering replacing the ASIC Training Register for financial product advisers. In a Consultation Paper (Consultation Paper 215 Assessment and approval of training courses for financial product ...

Queensland adviser permanently banned

MARK SMITH  |  FRIDAY, 16 AUG 2013
A former Queensland financial adviser has been permanently banned by the Australian Securities and Investments Commission (ASIC) after an investigation found he provided inappropriate and unreasonable advice. ASIC's investigation found that between ...

Study shows dark pools benefit markets at low volumes

MARK SMITH  |  WEDNESDAY, 14 AUG 2013
... and traded volume. The research coincides with a recent announcement from the Australian Securities and Investments Commission (ASIC) that dark pools and high frequency traders would be subject to more stringent market integrity rules, aimed at improving ...

Unclaimed life insurance up by $28 million

LAURA MILLAN  |  WEDNESDAY, 14 AUG 2013
... increased by $28 million during the last year, according to the latest report by the Australian Securities and Investments Commission (ASIC). The figure for unclaimed life insurance on July 1, 2013, was approximately $80.1 million and a year before it ...

ASIC brandishes whip on dark liquidity and HFT

JAMES FERNYHOUGH  |  TUESDAY, 13 AUG 2013
... and high frequency trading (HFT) will be subject to new regulation after the Australian Securities and Investments Commission (ASIC) announced its new market integrity rules. ASIC Commissioner Cathie Armour said the new rules will improve the transparency ...

Court ruling on Storm, "a blow" to consumer action

LAURA MILLAN  |  TUESDAY, 13 AUG 2013
The Federal Court's decision to approve the appeal by the Australian Securities and Investments Commission (ASIC) on the settlement between Macquarie Bank and the victims of Storm Financial is "a serious blow to direct consumer action," the litigator ...

LM liquidators get boot over conflict of interest

JAMES FERNYHOUGH  |  MONDAY, 12 AUG 2013
... and Ginette Muller of FTI Consulting, had previously resisted attempts by the Australian Securities and Investments Commission (ASIC) to remove them from responsibility for FMIF. ASIC said it was concerned that Park and Muller were not putting the interests ...

Macquarie and Storm victims settlement "wrong": Court

LAURA MILLAN  |  MONDAY, 12 AUG 2013
... Storm Financial fraud. The Court approved the request for appeal made by the Australian Securities and Investments Commission (ASIC) after Macquarie agreed to pay $82.5 million to 1,050 Storm clients who took out margin loans with the bank. The Court ...