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

Search Results

Showing 531 - 540 of 1464 results for "Investments Commission"

Research houses flag 'rating shopping' to advisers

MARK SMITH  |  MONDAY, 15 JUL 2013
... process, have moved to publish a list of those managers more prominently. The new Australian Securities and Investments Commission (ASIC) regulatory guidelines, known as RG79, came into force from 1 July and are aimed at preventing conflicts of interest. ...

Storm claim unfair and baseless: CBA

LAURA MILLAN  |  MONDAY, 15 JUL 2013
... proceedings against the $136 million settlement that the bank reached with the Australian Securities and Investments Commission (ASIC) last year. "CBA regards the application as unfair, fundamentally flawed, incompetent and baseless. It will be opposing ...

Perth broker gets 3 year ban for falsifying documents

LAURA MILLAN  |  FRIDAY, 12 JUL 2013
... from engaging in credit activities until 27 June 2016. An investigation from the Australian Securities and Investments Commission (ASIC) found that between November 2010 and September 2011 Schmelzkopf submitted to a lender 13 loan applications with tax ...

Storm lawyers take ASIC and CBA to court over settlement

LAURA MILLAN  |  FRIDAY, 12 JUL 2013
... Robinson Solicitors have questioned the $136 million settlement reached by the Australian Securities and Investments Commission (ASIC) and Commonwealth Bank last year. Levitt Robinson has filed a case against both organisations and also charges ASIC ...

Wellington forced to pay ASIC's cost of appeal

LAURA MILLAN  |  FRIDAY, 12 JUL 2013
Wellington Capital will be forced to cover the costs incurred by the Australian Securities and Investments Commission (ASIC) after the regulator brought legal proceedings against the responsible entity of the Premium Income Fund (PIF). The cost of the ...

US regulator lifts hedge fund advertising ban

MARK SMITH  |  FRIDAY, 12 JUL 2013
... hedge funds enjoy one of the most liberal advertising regimes in the world. The Australian Securities and Investments Commission (ASIC) does not distinguish between hedge funds and more conventional investment vehicles. The ASIC Act governs hedge funds ...

ASIC finalises OTC derivatives reporting rules

MARK SMITH  |  FRIDAY, 12 JUL 2013
The Australian Securities and Investments Commission (ASIC) has issued its final rules around over-the-counter (OTC) derivatives trade reporting for financial institutions. The regime is set out in a package of rules and guidance released by ASIC today ...

ASIC winds up insolvent derivatives issuer

MARK SMITH  |  TUESDAY, 9 JUL 2013
The Australian Securities and Investments Commission (ASIC) has obtained orders in the Federal Court to wind up Sydney-based derivatives issuer Apex Derivatives. Apex promoted trading in forex and contracts for difference (CFD) derivatives via its website. ...

ASIC bans Gateway Financial adviser permanently

LAURA MILLAN  |  MONDAY, 8 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned a former Gateway Financial adviser, which is an authorised representative of Titanium Planners. Joshua John Doyle from Bradbury, New South Wales, has been permanently ...

Adviser uses dead people to earn commission

JAMES FERNYHOUGH  |  FRIDAY, 5 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned a Sydney financial adviser for using the names of dead and non-existent people to earn commissions on insurance applications. Pavan Vyas, an employee of Lionsgate Financial ...

Editor's Choice

Mercer Super chief executive steps down

RIDDHIMA TALWANI
Mercer Super chief executive Claire Ross is departing after almost 17 years in senior leadership roles at the retail super fund.

AusFood Super looks to revitalise member engagement

MATTHEW WAI
The $3.5 billion super fund has partnered with InvestStream to launch RetireSmart+, becoming the first super fund to bring an AI-powered engagement experience to some 66,000 members.

L1 Group posts 'marked recovery' in June quarter

RIDDHIMA TALWANI
L1 Group has reported a marked recovery in investment performance in the June quarter.

European PE firm mandates Apostle with Australian distribution

RIDDHIMA TALWANI
Apostle Funds Management has been appointed by European investment firm Triton Partners for the distribution of its credit strategies in Australia and New Zealand.

Videos

Brought to you by
MORE VIDEOS

Products

Financial Standard Guide To Series

'Guide To' Series

Pocket investment guides featuring adviser case studies and a glossary.
MORE INFO
Financial Standard Publisher's Forum

Publisher's Forum

Investing trends and strategies from the industry’s thought leaders.
MORE INFO
Financial Standard Product Showcases

Product Showcases

Putting the spotlight on investment products that matter.
MORE INFO

Expert Feed

Industry Events

MORE INDUSTRY EVENTS
JUL
21

Advisers Big Day Out - Cairns 

JUL
23

Advisers Big Day Out - Sunshine Coast 

JUL
24

Advisers Big Day Out - Gold Coast 

JUL
28

Advisers Big Day Out - Hobart 

JUL
30

Advisers Big Day Out - Geelong 

Featured Profile

MORE PROFILES
Blake Briggs

Blake Briggs

CHIEF EXECUTIVE OFFICER
FINANCIAL SERVICES COUNCIL
Since becoming chief executive, Blake Briggs has renewed the Financial Services Council's influence, expanded the membership base, and strengthened its policy and advocacy credentials. Karren Vergara writes.
READ MORE
The Financial Standard podcast
Tune in each week as we discuss the latest developments in Australia's wealth management industry.
Financial Standard podcast
Spotify
Apple Podcasts
Amazon Music
YouTube
Follow Financial Standard on Facebook
Follow Financial Standard on Twitter
Follow Financial Standard on LinkedIn
Follow Financial Standard on Instagram
Rainmaker Information Pty Ltd - ABN 86 095 610 996
part of ISS - Institutional Shareholder Services, © Copyright 2026, All Rights Reserved
MarketSage  -  MarketPulse  -  MarketPro  -  Media