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Showing 551 - 560 of 1464 results for "Investments Commission"

ASIC to face parliamentary inquiry over CBA

LAURA MILLAN  |  THURSDAY, 20 JUN 2013
Parliament will launch an inquiry into the Australian Securities and Investments Commission (ASIC), after it was revealed that the regulator took 16 months to act on information that suggested serious misconduct in Commonwealth Bank financial planning. ...

Company director charged with QLD property fraud

JAMES FERNYHOUGH  |  WEDNESDAY, 19 JUN 2013
... eight counts of fraudulent misappropriation, following an investigation by the Australian Securities and Investments Commission (ASIC). Hill, of Hill Stephens & Associates Pty Ltd (HSA), allegedly dishonestly induced various investors to pay approximately ...

ASIC relaxes HFT and dark pool proposals

MARK SMITH  |  TUESDAY, 18 JUN 2013
The Australian Securities and Investments Commission (ASIC) has relaxed parts of its proposed rule changes for dark pools and high-frequency trading (HFT) after extensive consultation with the industry. ASIC will not go ahead with proposals to rest ...

ASIC releases more detail on limited AFS licence

LAURA MILLAN  |  MONDAY, 17 JUN 2013
The Australian Securities and Investments Commission (ASIC) has released guidance on applying for a limited Australian financial services (AFS) licence. The guide establishes the exact definition of a limited AFS licence and it gives more details on ...

AQUA II poses a challenge to wraps

JAMES FERNYHOUGH  |  MONDAY, 17 JUN 2013
... - may be on the horizon following the release of a consultation paper by the Australian Securities and Investments Commission (ASIC). Widely seen as an alternative to big platforms, the AMFS will be exempt from regulations demanding 'wet signatures' ...

PJC to hold TASA hearing tomorrow

LAURA MILLAN  |  TUESDAY, 11 JUN 2013
... regulation, which will also come in on July 1. The Committee will look at how the Australian Securities and Investments Commission (ASIC) and the Tax Practitioner Board (TPB) can work together and avoid duplications. The hearings will also analyse the ...

ASIC continues proceedings against Wellington Capital

LAURA MILLAN  |  TUESDAY, 11 JUN 2013
The Australian Securities and Investments Commission (ASIC) has taken a new step on its legal proceeding against Wellington Capital, the responsible entity of the Premium Income Fund (PIF) in the Federal Court of Australia. The Court considered that ...

ASIC bans former CEO for 'misleading activities'

JAMES FERNYHOUGH  |  FRIDAY, 7 JUN 2013
... Group, has been banned from providing financial services for three years. The Australian Securities and Investments Commission (ASIC) found that Priestley had misled a client, when he guaranteed that the 'Aussie Rob Lifestyle Trader' software was not ...

Corporate super specialists ask Treasury for FoFA exemption

JAMES FERNYHOUGH  |  FRIDAY, 7 JUN 2013
... Corporate Super Specialists Alliance (CSSA) is in talks with Treasury after the Australian Securities and Investments Commission (ASIC ) refused to grant a no-action letter to corporate super specialists. The CSSA made the request for a no-action letter ...

ASIC updates MIS guidance

LAURA MILLAN  |  THURSDAY, 6 JUN 2013
The Australian Securities and Investments Commission (ASIC) has revised its guidance for operators of registered managed investment schemes (MIS). MIS industry has until October 1, 2013 to comply with the new requirements. The updated policy guidance ...