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Showing 591 - 600 of 600 results for "Authorised Representative"

IFA Securities adviser banned for five years

... acting as a representative of a securities dealer or investment advisor for five years. Ms Hutson was an authorised representative of IFA Securities Pty Ltd from 18 March 2002 to 13 February 2003. An ASIC investigation found that throughout 2002 Ms Hutson ...

Junior dealer permanently banned by ASIC

... Cairns office of AAM. An ASIC investigation found that Ms Phelps had not per formed her duties as an authorised representative either efficiently, honestly or fairly, following the identification of irregularities in her trading account, and the trading ...

ASIC bars former securities dealer from practicing financial services

... that Mr Donohue had engaged in misleading and deceptive conduct, and had not performed his duties as an authorised representative - efficiently, honestly and fairly. ASIC found that in December 2000, Mr Donohue opened a client trading account in his ...

ASIC to hold investor forums in Australia

... Chartered Accountants in Australia and the Securities Institute of Australia. Mr McLachlan, formerly an authorised representative of financial adviser Thompson Brindal Ltd, was found guilty on 43 counts of diverting personal trading losses to the accounts ...

ASIC obtains undertakings following Federal Court proceedings

... mezzanine financing, or any other financial product without first obtaining an AFSL, or becoming an authorised representative of an AFSL holder," ASIC executive director of Financial Services Regulation, Ian Johnston said. "The content of the seminars ...

ASIC bans Sydney businessmen

... The Australian Securities and Investments Commission (ASIC) has banned Jonathan Rabinovitz - a former authorised representative of Credit Suisse First Boston Australia Equities Limited (CSFB) - from the securities industry for 18 months. ASIC found that ...

FPA welcomes tax law amendment bill

The Financial Planning Association (FPA) has welcomed the introduction of the Taxation Law Amendment Bill (No. 7) 2003 schedule 9 that aims to provide capital gains tax (CGT) roll-over relief for financial planning dealer groups. The Association said ...

FLS branches out into general insurance

Financial planning dealer group Financial Lifestyle Solutions (FLS) has launched a general insurance broking business to attract existing brokers and multi agents feeling the administrative strain of compliance under the new Financial Services Regime ...

Another adviser pleads guilty to ASIC charges

... Commission (ASIC) said today. The charge was laid following an ASIC investigation into Mudge's conduct as an authorised representative of Ausfin Management Services. ASIC alleges that between September 1999 and October 2001, the 60-year old Mudge "asked ...

ASIC blacklists ex-Colonial planner for client 'churning'

... Markets course or a similar ASIC-approved course if he wants to work in the industry again. Curtis was an authorised representative of Commonwealth Bank Financial Services, formerly Colonial Financial Services, at the time of the offences. He worked ...

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Federal Court lifts Merhi's travel ban

KARREN VERGARA | 12:25PM

Former financial adviser Ferras Merhi is now free to travel as the Federal Court lifted travel restraint orders imposed one year ago.

Hostplus delivers double-digit FY26 returns

RIDDHIMA TALWANI | 12:30PM

Hostplus Balanced (MySuper) option delivered members 10.8% for the financial year 2025-26, while the Indexed Balanced option and the High Growth option returned members 11.06% and 12.61% respectively.

ASIC levy estimates jump 19% as regulator ramps up funding

VINNY VUCAGO | 12:21PM

ASIC has lifted its estimated industry funding levy by almost 20% for 2025-26, with regulated entities expected to shoulder $400.5 million in regulatory costs as the corporate watchdog expands its supervision and enforcement activities.

GQG bleeds over US$7bn in FUM in June

MATTHEW WAI | 12:13PM

Despite recording positive investment performance, GQG Partners observed a significant outflow, with net outflows of $4.62 billion recorded in the month of June, as FUM slipped to $225 billion at June end, compared to $235.5 billion in the month prior.

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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.

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