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Showing 591 - 600 of 833 results for "Corporations Act"

ASIC imposes AFSL conditions on Lionsgate

ALEX DUNNIN  |  THURSDAY, 7 MAR 2013
... by Lionsgate to engage an independent expert to review its processes for compliance with obligations under the Corporations Act 2001 (Corporations Act). This independent expert will report to Lionsgate and ASIC and provide recommendations which Lionsgate ...

ASIC cancels national planning firm's license

MARK SMITH  |  THURSDAY, 7 FEB 2013
... Securities and Investments Commission (ASIC) after it had 'comprehensively and repeatedly' failed to comply with the Corporations Act 2001, it was announced yesterday. Following surveillance of the business since June 2010, ASIC found that AAA had breached ...

New claimants join class action against CBA

MARK STORY  |  THURSDAY, 7 FEB 2013
... one of the catalysts responsible for triggering the GFC. If CBA is found to be in breach of section 192A of the Corporations Act (based on non-disclosure) - which would ground a case for negligence - Banton said there would be implications for CBA licencing ...

Draft regulation released for Accountant Exemption

BEN COLLINS  |  THURSDAY, 29 NOV 2012
... advice in more areas than they already can. The reforms also extend the consumer protection provisions of the Corporations Act, such as the best interests duty in the recently passed Future of Financial Advice (FoFA) reforms, to financial advice provided ...

FPA praises 'truth in labelling' legislation

MARK STORY  |  THURSDAY, 29 NOV 2012
... personal financial advice are actually entitled to call themselves a financial planner/adviser. Currently, under the Corporations Act 2001, there is no constraint on individuals calling themselves financial planners irrespective of their training, competence ...

New rules for HFT trading

BEN COLLINS  |  WEDNESDAY, 21 NOV 2012
... licensing regime is "generally fit for purpose," said Shorten's office in a statement. This is to ensure that the Corporations Act is appropriate for ASIC to supervise and regulate both the more traditional public exchanges and more recent developments ...

ASIC consults on code approval under FOFA

LINDA HAUSKEN  |  WEDNESDAY, 24 OCT 2012
... facilitative approach to the implementation of the reforms. Australia's corporate regulator has existing power under the Corporations Act to approve codes of conduct, with Regulatory Guide 183 (RG 183), setting out its minimum expectations in this area. ...

ASIC cancel advice firm's AFS licence

LINDA HAUSKEN  |  MONDAY, 22 OCT 2012
... clients with self-managed super funds or similar investments and income protection and life insurance policies. The Corporations Act allows ASIC to suspend or cancel an Australian financial services licence held by a corporate body if the body, among ...

Barclays cops $80,000 fine

LINDA HAUSKEN  |  TUESDAY, 16 OCT 2012
Barclays Bank has been fined by ASIC for breaching the corporations Act and withdrawing $13.8 million of client segregated accounts money without authorisation. The corporate watch dog yesterday confirmed that Barclays had paid an infringement penalty ...

ASIC civil case a dead duck: Storm founders

MELANIE TIMBRELL  |  THURSDAY, 20 SEP 2012
... director duties. ASIC launched the civil action against the pair in 2010 alleging breach of duties under the Corporations Act by providing a one-size-fits-all financial advice service that did not appropriately differentiate between clients' individual ...