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Showing 5421 - 5430 of 6696 results for "Securities"

Advice in 2020

ALEX DUNNIN  |  TUESDAY, 31 OCT 2006
... may have even developed a way to pay for advice based upon Medicare bulk billing." Darren Williams, the Australian Securities and Investment Commission's (ASIC) director of compliance for financial services, said, "Consumers would have learned to be ...

Lo-doc broker to pay client compensation: ASIC

Small-time mortgage brokers who think they may be too insignificant to catch the ire of the Australian Securities and Investments Commission (ASIC) should take heed after the regulatory watchdog took legal proceedings against a Canberra-based lo-doc ...

Market wrap - midday

AAP  |  FRIDAY, 27 OCT 2006
... market remained lower at noon today, pulled back by weakness among the major miners and building materials stocks. Aequs Securities institutional dealer Ric Klusman said a profit downgrade from building materials firm Boral Ltd triggered slides in shares ...

Reverse mortgage regulation lacks cohesion

HAMISH MADDEN  |  TUESDAY, 24 OCT 2006
... attendees at the SEQUAL forum last week, Greg Tanzer, executive director, consumer protection directorate, the Australian Securities and Investments Commission (ASIC), explained that ASIC did not have the legislative power to regulate reverse mortgage ...

Market wrap - midday

AAP  |  MONDAY, 23 OCT 2006
... 5308.6. On the Sydney Futures Exchange, the December share price index contract was two points higher at 5341. Aequs Securities institutional dealer Ric Klusman said the banks were particularly strong at noon. "People are running for a little bit more ...

Charles River and Yieldbroker integrate platforms

ALEX DUNNIN  |  MONDAY, 23 OCT 2006
... Year 2004. Yieldbroker is a dominant electronic trading platform in the Australian marketplace dealing in fixed income securities.

Tassie investment schemes wound up

HAMISH MADDEN  |  FRIDAY, 20 OCT 2006
The Australian Securities and Investments Commission (ASIC) has succeeded in its bid to have two Tasmanian unregistered managed funds wound up. ASIC obtained orders in the Tasmanian District Registry of the Federal Court of Australia to wind up the ...

Aviva snaps up Infocus stake

KATE HAGE  |  THURSDAY, 19 OCT 2006
... piece to their increasing adviser network, which includes Professional Investment Services and Financial Technology Securities. "At Aviva our relationship with financial advisers and their clients is our number one priority. To succeed within the independent ...

Property promoter gets life ban and $1.1m penalty

... were promised around 30 per cent per year returns which were described as 'secured and guaranteed'. But the Australian Securities and Investments Commission (ASIC) found that most of the investments were actually unsecured loans. According to ASIC, ProCorp ...

ASIC clearing guidlines will segment the service chain

KATE HAGE  |  WEDNESDAY, 18 OCT 2006
... house providers will now have to provide employers with product disclosure statements (PDS) after a recent Australian Securities and Investments Commission (ASIC) review found that they fall under the financial services licensing and Corporations Law ...