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Showing 601 - 610 of 808 results for "Corporations Act"

ASIC moves to protect OTC retail investors

MATT WOODINGTON  |  TUESDAY, 10 MAY 2011
... framework concerning the level of NTA held by issuers and a staged implementation process. "Currently, under the Corporations Act, Australian financial services licensees dealing in OTC derivatives are legally allowed to use client funds to hedge positions," ...

Unitholders ask ASIC/NSX to ban cap raising

ELISE BURGESS  |  MONDAY, 9 MAY 2011
... per cent of all fund unitholders are part of, said they believe the planned capital raising is in breach of the Corporations Act, the Scheme Constitution, NSX Listing Rules and not in the interests of Unitholders. The raising, announced on May 6 by Wellington ...

Accountants attack planners over naming rights

ALISON BEVEGE  |  THURSDAY, 21 APR 2011
... National Institute of Accountants (NIA) fired the first shots yesterday, saying moves to control the term under the Corporations Act would lock other professionals out of providing financial advice. "(Its) nothing more than a cover to exclude other equally ...

FPA calls for naming rights

ALISON BEVEGE  |  THURSDAY, 14 APR 2011
... Matthew Rowe told a room full of professionals gathered for a luncheon speech by the Minister that under the Corporations Act there was no constraint on people calling themselves financial planners irrespective of their training or competence, unlike ...

Investors in line for Fincorp payout

MATT WOODINGTON  |  THURSDAY, 24 MAR 2011
... and suffered loss or damage to be eligible. The proposed settlement scheme, pursued under a provision of the Corporations Act 2001, has a sliding scale of compensation, reflecting the strengths and weaknesses of different claims. "These laws mean that ...

UBS wealth mgmt to review compliance

ELISE BURGESS  |  FRIDAY, 18 MAR 2011
... to the market that ASIC expects advisers to have proper systems in place to comply with the provisions of the Corporations Act relating to Statements of Advice," said D'Aloisio. UBS WMA will now contact relevant clients to establish if any claims are ...

ASIC bans former Storm adviser

ELISE BURGESS  |  FRIDAY, 25 FEB 2011
... Advice. Finally, ASIC found that Drummond provided false and misleading statements in breach of s1041E of the Corporations Act 2001 and misleading and deceptive conduct under s1041H of the Corporations Act 2001. Drummond has the right to apply to the ...

Poor advice fine to reach $200k

ELISE BURGESS  |  MONDAY, 21 FEB 2011
... adviser that is found guilty of breaching their fiduciary duty could be charged a maximum $500 fine under the Corporations Act, which deems an adviser's defence as acting under the licensee's instructions and advice. Next month, however, the Government ...

ASIC catches Camelot Derivatives

ASIC RELEASE  |  TUESDAY, 8 FEB 2011
... an accessory to Camelot's contraventions. ASIC alleges that the above offences contravened provisions of the Corporations Act 2001 and the Australian Securities and Investments Commission Act 2001. The matter is scheduled to return to the Federal Court ...

ASIC clears up online disclosure rules

ELISE BURGESS  |  WEDNESDAY, 15 DEC 2010
... Facilitating online financial services disclosures (RG221), ASIC discusses online disclosure provisions under the Corporations Act and what documentation financial planners and other providers can legally send electronically. This means that financial ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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