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Showing 611 - 620 of 687 results for "Proceedings"

West Pymble adviser charged

ASIC RELEASE  |  WEDNESDAY, 22 APR 2009
... Matthews was found guilty by Justice Barrett of contempt of court for breach of orders of that Court on 4 October 2000 in proceedings brought by ASIC. The orders permanently prevented him from undertaking the business of advising about securities and ...

Charged for no AFSL

ASIC RELEASE  |  TUESDAY, 14 APR 2009
ASIC has commenced proceedings against four former Queensland directors who dealt in financial products, including Westpoint promissory notes, without an Australian financial services licence (AFSL). Barry William Silver, of Arundel, Robert Peers Button ...

Computershare buys bankruptcy expert

RUTH LIEW  |  WEDNESDAY, 18 MAR 2009
... support services and technology solutions to companies undergoing corporate restructuring or chapter 11 bankruptcy proceedings. Computershare said KCC's business and processes are "closely aligned" with its core competencies. The acquisition as such ...

Ex-director banned for 25 years

MEDIA RELEASE  |  MONDAY, 16 MAR 2009
... banned by the Supreme Court of New South Wales from managing corporations for 25 years. Following an investigation and proceedings commenced by the Australian Securities and Investments Commission (ASIC) the Court previously found that Goulding had breached ...

Adviser charged for contempt of court

MEDIA RELEASE  |  FRIDAY, 27 FEB 2009
... found guilty in the Supreme Court of New South Wales of contempt of court for breach of orders made by the Court in proceedings previously brought by ASIC. On 4 October 2000, Justice Santow of the Supreme Court of New South Wales made a number of orders ...

SMSF trustee fails sole purpose test

RUTH LIEW  |  WEDNESDAY, 12 NOV 2008
... doing so. This occurred during the time LSF received the benefits from the complying super funds, ASIC alleged. ASIC's proceedings against Little follow an investigation conducted with the assistance of the Australian Taxation Office. The matter returns ...

Top platforms give Basis investors helping hand

RUTH LIEW  |  WEDNESDAY, 6 AUG 2008
... Australia and Macquarie, have banded together to pool their resources to help cover the legal costs associated with court proceedings. According to a statement released by the Investment & Financial Services Assocation, the industry body has hosted meetings ...

BNY Mellon taps distressed debt

RUTH LIEW  |  THURSDAY, 3 JUL 2008
... relationships with managers that are investing in this area are fairly solid. We've got an intimate knowledge of their proceedings [and] there are 63 that are in our research system dedicated to doing distressed investing," he said. MGAI also practices ...

ASIC's Westpoint action faces delay

MICHAEL HOBBS  |  FRIDAY, 27 JUN 2008
... case against Westpoint hits a snag after the Federal Court ruled the regulator did not have the power to carry on proceedings started by Westpoint's liquidators. In November last year, ASIC announced proceedings against Westpoint's directors, taking ...

Ken Done sues over $53m bad advice

MICHAEL HOBBS  |  THURSDAY, 20 MAR 2008
... Commonwealth Bank spokesperson said the bank and Financial Wisdom are disputing the claims and would be defending the proceedings. "Financial Wisdom did provide some advice but not on all the investment decisions. All the investment decisions were made ...