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Showing 571 - 580 of 1464 results for "Investments Commission"

Planner numbers drop on FoFA changes

ALICE URIBE  |  FRIDAY, 17 MAY 2013
... said. For example AAA Financial Intelligence which had its license revoked by the Australian Securities and Investments Commission (ASIC) in February this year, had 186 advisers Keevers said. According to the research AMP Financial Planning is the biggest ...

ASIC raises red flag on capital protected products

LAURA MILLAN  |  THURSDAY, 2 MAY 2013
The Australian Securities and Investments Commission (ASIC) has zeroed in on the labelling of unlisted retail structured products that are being promoted as having "capital protection" or a "capital guarantee". An ASIC report noted that these are complex ...

PIF Action Group questions ASIC decision on Wellington

LAURA MILLAN  |  WEDNESDAY, 1 MAY 2013
The Australian Securities and Investments Commission (ASIC) decision to drop the investigation into the Wellington Premium Income Fund (PIF) has angered the PIF Action Group. PIF Action Group president Peter Grenadier told Financial Standard that in ...

APX given green light

MARK SMITH  |  TUESDAY, 30 APR 2013
... operating an exchange market in Australia once it has complied with an number of the Australian Securities and Investments Commission (ASIC)'s conditions. "This decision means that the Australian owned APX market will offer stock market listing in Australia ...

ASIC winds up 3 fraudulent QLD financial services companies

LAURA MILLAN  |  MONDAY, 29 APR 2013
... after they defrauded approximately $1 million between May and October 2012. An Australian Securities and Investments Commission (ASIC) investigation discovered that Secured Collateral, Diversified Collateral, Intra Management and their directors, Keiron ...

Fair Finance Australia pays infringement notice penalty

LAURA MILLAN  |  FRIDAY, 26 APR 2013
The Australian Securities and Investments Commission (ASIC) has issued an infringement notice to Foresters Community Finance, which trades as Fair Finance Australia for false or misleading advertising. Fair Finance paid a $6,600 penalty on 22 March ...

Changes in board culture, key to avoid risk

LAURA MILLAN  |  FRIDAY, 26 APR 2013
... sure they don't operate in risky environments. Recent regulatory changes by the Australian Securities and Investments Commission (ASIC) and the Australian Prudential Regulation Authority (APRA) have brought extra costs to superannuation funds, insurers ...

ASIC appoints deputy chairman

LAURA MILLAN  |  FRIDAY, 26 APR 2013
... government announced the appointment of Peter Kell as deputy chairman of the Australian Securities and Investments Commission (ASIC) for a five-year period starting 6 May 2013. Kell joined ASIC as a commissioner in 2011 and has experience in both the ...

Former SMSF adviser sentenced

LAURA MILLAN  |  TUESDAY, 23 APR 2013
... sentenced after pleading guilty to one count of lodging a false statement with the Australian Securities and Investments Commission (ASIC). Craig Gerard Dangar was convicted and released subject to a recognisance order, without security, and requiring ...

Former Citigroup broker convicted for insider trading

LAURA MILLAN  |  FRIDAY, 19 APR 2013
... former Citigroup broker for insider trading, following an investigation from the Australian Securities and Investments Commission (ASIC). The broker, Colin Edward George Hebbard, of Gwelup, Western Australia, was fined $20,000 and had a conviction recorded. ...