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Showing 581 - 590 of 1464 results for "Investments Commission"

Kenyon Prendeville case could be referred to ASIC

LAURA MILLAN  |  WEDNESDAY, 17 APR 2013
... brokering firm Kenyon Prendeville, are considering reporting breaches to the Australian Securities and Investments Commission (ASIC) after one of the partners, Alan Kenyon, failed to provide liquidators with essential financial details. "We haven't heard ...

Is benchmarking being legislated?

LAURA MILLAN  |  MONDAY, 15 APR 2013
... said during van Eyk's 10th annual conference last week. According to Ramsay, the Australian Securities and Investments Commission's (ASIC) new guidelines for financial products could potentially lead to big losses for investors if it encourages the industry ...

Radar Results creditors meeting to go ahead

ALICE URIBE  |  MONDAY, 15 APR 2013
... the liquidators and a statement to the creditors from one of the directors. The Australian Securities and Investments Commission (ASIC) notice of the meeting of creditors advised that creditors wishing to attend should submit proofs and proxies to the ...

ASIC charges former financial adviser

LAURA MILLAN  |  FRIDAY, 12 APR 2013
The Australian Securities and Investments Commission (ASIC) has charged a former financial adviser for failing to provide appropriate advice to clients. Kevin Maxwell George Whitting, of Rosebud, Victoria, provided inappropriate advice to five investors ...

Sherry joins calls to watch SMSF property spruikers

MARK SMITH  |  FRIDAY, 12 APR 2013
... practitioners," he said. The former Labor politician's comments echo those of Australian Securities and Investments Commission (ASIC) commissioner Peter Kell who urged SMSF professionals to be on the look out for "shark advice", "misleading ads" and ...

ASIC delays start date for advisers exam

LAURA MILLAN  |  THURSDAY, 11 APR 2013
The Australian Securities and Investments Commission (ASIC) has delayed the implementation of a national examination for financial advisers. ASIC said that the objective is to allow appropriate time for other reforms to be implemented in the financial ...

ASIC suspends licence of LM Investment

LAURA MILLAN  |  WEDNESDAY, 10 APR 2013
The Australian Securities and Investments Commission (ASIC) has suspended the Australian financial services licence (AFSL) of LM Investment Management Limited for two years following the company's voluntary administration. The AFSL suspension allows ...

ASIC accepts enforceable undertaking from City Index

LAURA MILLAN  |  WEDNESDAY, 10 APR 2013
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking from City Index Australia (CIA), which will appoint an independent expert to review the business and develop a plan to rectify the deficiencies. The ...

Halifax to fix deficiencies after ASIC review

ALICE URIBE  |  FRIDAY, 5 APR 2013
... (Halifax) will appoint an independent consultant to review its business after the Australian Securities and Investments Commission (ASIC) found deficiencies in the business. ASIC accepted an enforceable undertaking (EU) and said it was a warning to securities ...

Securities dealer scales back after ASIC review

LAURA MILLAN  |  THURSDAY, 4 APR 2013
Securities dealer Clearing & Settlement Services (CSS) has downsized its operations after the Australian Securities and Investments Commissions (ASIC) found it had failed to comply with conditions of its Australian Financial Services licence (AFSL). ...