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Showing 601 - 610 of 1464 results for "Investments Commission"

Former Astarra director permanently banned from fin services

LAURA MILLAN  |  THURSDAY, 7 MAR 2013
The Australian Securities and Investments Commission (ASIC) announced today that it has permanently banned former Astarra Asset Management director Eugene Liu from providing financial services for failing to comply with financial services laws. Liu ...

More details needed on conflicted remuneration guide

LAURA MILLAN  |  TUESDAY, 5 MAR 2013
... the Association of Financial Advisers (AFA) have welcomed the release of the Australian Securities and Investments Commission (ASIC) guidance on conflicted remuneration but have asked for more clarity on some of the main aspects. The guidance was released ...

Industry bodies welcome Code of Conduct update

LAURA MILLAN  |  MONDAY, 4 MAR 2013
... the Association of Financial Advisers (AFA) have welcomed the release of the Australian Securities and Investments Commission (ASIC) guidance on the regulatory code of conduct. After the release of the guidance last week, the ASIC will start to consider ...

ASIC speeds up misconduct probe

MARK SMITH  |  WEDNESDAY, 27 FEB 2013
The Australian Securities and Investments Commission (ASIC)'s latest report on the supervision of markets and participants shows that the regulator has significantly reduced the time it takes to start investigations of suspicious market conduct. Of ...

Two liquidators punished by ASIC

BEN COLLINS  |  TUESDAY, 26 FEB 2013
... corporate watchdog has taken action against two liquidators in separate cases. The Australian Securities & Investments Commission (ASIC) yesterday said that it had accepted an enforceable undertaking from Sydney liquidator Ian Struthers that bars his ...

SMSF adviser escapes jail time with suspended sentence

BEN COLLINS  |  FRIDAY, 22 FEB 2013
... sentences of 18 months jail, after pleading guilty to two charges brought by the Australian Securities & Investments Commission (ASIC) of obtaining financial advantage by deception. Dangar pleaded guilty to obtaining a total financial advantage of $250,000 ...

Co-operation key to avoiding pain from ASIC

MARK SMITH  |  THURSDAY, 21 FEB 2013
Financial services firms who come under fire from the Australian Securities and Investments Commission (ASIC) are better off working with the regulator than prepare for a legal battle, according to a law firm specialising in the area. A seemingly endless ...

Some auditors won't be counted

BEN COLLINS  |  FRIDAY, 15 FEB 2013
... Professionals' Association of Australia (SPAA) annual conference in Melbourne, Australian Securities & Investments Commission (ASIC) boss Greg Tanzer said that while discretion would be applied on a case-by-case basis, the new regime was design to raise ...

ASIC court order against Sydney adviser

LAURA MILLAN  |  WEDNESDAY, 13 FEB 2013
The Australian Securities and Investments Commission has obtained interim court orders against Sydney financial adviser Gabriel Nakhl. The orders restrain Nakhl from disposing of, dealing with or diminishing certain assets, except in limited circumstances ...

ASIC cancels national planning firm's license

MARK SMITH  |  THURSDAY, 7 FEB 2013
... planning business AAA Financial Intelligence has had its license revoked by the Australian Securities and Investments Commission (ASIC) after it had 'comprehensively and repeatedly' failed to comply with the Corporations Act 2001, it was announced yesterday. ...