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

Search Results

Showing 521 - 530 of 1464 results for "Investments Commission"

New deal opens Europe to Aussie AIFs

JAMES FERNYHOUGH  |  MONDAY, 22 JUL 2013
The Australian Securities and Investments Commission (ASIC) has entered a cooperation arrangement with its European Union (EU) counterparts to supervise fund managers operating across borders. The arrangement will allow Australian fund managers to manage ...

FPA wants schools to teach financial literacy

LAURA MILLAN  |  FRIDAY, 19 JUL 2013
... the Financial Planning Association (FPA) has proposed. In a submission to the Australian Securities and Investments Commission (ASIC) National Financial Literacy Strategy, the FPA proposed expanding financial literacy in the formal education sector as ...

PIS appoints PwC as independent expert

LAURA MILLAN  |  THURSDAY, 18 JUL 2013
... Services (PIS) for the next nine months after an order was issued yesterday by the Australian Securities and Investments Commission (ASIC). PwC will report back to ASIC each quarter and will test compliance of PIS's personal advice with regulatory requirements ...

FPA sets out opposition to self-education cap

LAURA MILLAN  |  THURSDAY, 18 JUL 2013
... become registered tax agents if they give tax advice and at the same time, the Australian Securities and Investments Commission (ASIC) has recently issued consultation paper CP212 that proposes to increase competency and training standards for advisers. ...

Perth mortgage broker permanently banned

LAURA MILLAN  |  THURSDAY, 18 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned a Perth-based mortgage broker. An ASIC investigation found that he had falsified a letter stating finance approval had been provided for a client and then forwarded it ...

ASIC orders further PIS scrutiny over compliance concerns

LAURA MILLAN  |  WEDNESDAY, 17 JUL 2013
... undertaking (EU). The EU came to an end on March 2012 and PIS presented it to the Australian Securities and Investments Commission (ASIC) on December 2010. ASIC said that it had concerns that compliance and audit functions required further work and the ...

ASIC's powers heightened under FoFA

LAURA MILLAN  |  WEDNESDAY, 17 JUL 2013
The Australian Securities and Investments Commission (ASIC) will act more strongly on cases of misconduct in the wake of Future of Financial Advice (FoFA) the regulator said. The new FoFA regulation has allowed ASIC to take civil penalty actions, whereas ...

Japanese broker enters Australian market

JAMES FERNYHOUGH  |  WEDNESDAY, 17 JUL 2013
... Securities has launched its Australian operation after gaining its licence from the Australian Securities and Investments Commission (ASIC). Under chief executive Brendan Gunn, Invast Australia will offer various trading platforms and a range of products ...

CBA and HSBC change 'misleading' ads

MARK SMITH  |  WEDNESDAY, 17 JUL 2013
... their advertising for structured products aimed at retail investors after the Australian Securities and Investments Commission (ASIC) said they were potentially misleading. CBA's flyer compared investing $100,000 directly in listed shares with the same ...

Bell Potter adviser banned for dishonest conduct

JAMES FERNYHOUGH  |  TUESDAY, 16 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned Bell Potter adviser Lawson Stuart Donald from providing financial services for dishonest conduct. Donald, who worked for the stockbroking firm between 2003 and 2008 ...