Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 511 - 520 of 2086 results for "Australian Securities"

ASIC to renew focus on misleading advertising

LAURA MILLAN  |  THURSDAY, 31 JUL 2014
The Australian Securities and Investments Commission (ASIC) has listed advertising of financial products as one of the current and future areas of focus in its latest enforcement report. The regulator has achieved 256 enforcement outcomes in the six ...

New PJC inquiry will "close the loop" on consumer protection

LAURA MILLAN  |  WEDNESDAY, 30 JUL 2014
... current qualifications required by financial advisers and at the recognition of professional bodies by the Australian Securities and Investments Commission (ASIC). The inquiry will investigate the implications - both in competition and regulatory cost ...

Licensee under ASIC scrutiny after employing AAA advisers

LAURA MILLAN  |  WEDNESDAY, 30 JUL 2014
An Adelaide-based licensee has entered into an enforceable undertaking (EU) with the Australian Securities and Investments Commission (ASIC) after it employed a number of former representatives of AAA Intelligence limited. PGW Financial Services has ...

AFA unveils main principles of code of conduct

LAURA MILLAN  |  WEDNESDAY, 30 JUL 2014
... also be a must for AFA advisers, who will have to abide by the code of conduct once it is approved by the Australian Securities and Investments Commission (ASIC). The AFA is now seeking guidance from a working group and taking into account the new Tax ...

ASIC puts an end to PIS monitoring program

LAURA MILLAN  |  TUESDAY, 29 JUL 2014
The adviser monitoring program for Professional Investment Services (PIS) has concluded with the Australian Securities and Investments Commission (ASIC) reporting "a significant improvement in its compliance and audit functions." The Centrepoint-owned ...

ASX agrees to changes after ASIC review

MARK SMITH  |  MONDAY, 28 JUL 2014
The Australian Securities Exchange (ASX) has agreed to make changes to its operations to address a number of issues highlighted by the Australian Securities and Investments Commission (ASIC) in a recent review. The changes will affect the way the ASX ...

Macquarie tight-lipped on EU details

LAURA MILLAN  |  FRIDAY, 25 JUL 2014
Macquarie Group said that the Macquarie Private Wealth enforceable undertaking (EU) with the Australian Securities and Investments Commission (ASIC) is "on track," but refused to give more details about the process. An investor presentation made public ...

OneVue lists on ASX

MARK SMITH  |  FRIDAY, 25 JUL 2014
Managed account provider OneVue has been officially listed on the Australian Securities Exchange (ASX). Shares began trading at 11.30 this morning and were priced at $0.32 at the time of publishing. OneVue has been preparing for its initial public offering ...

ASIC obtains court orders against former Ballast adviser

LAURA MILLAN  |  THURSDAY, 24 JUL 2014
... Management authorised representative from providing financial advice and dealing in financial products. The Australian Securities and Investments Commission (ASIC) obtained the orders against Western Australia-based financial adviser Marion Joan Pearson ...

CBA whistleblower casts doubts over compensation scheme

LAURA MILLAN  |  THURSDAY, 24 JUL 2014
... their fault or that there was bad luck because there was the GFC." Morris argued that "neither CBA nor [the Australian Securities and Investments Commission] ASIC should be involved in compensation," given concerns expressed by the Senate Economics Committee ...