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Showing 621 - 630 of 2080 results for "Australian Securities"

We did a "pretty good job" in CBA planning case: ASIC

LAURA MILLAN  |  WEDNESDAY, 26 MAR 2014
The Australian Securities and Investment Commission (ASIC) commissioner Greg Tanzer believes that the regulator "did a pretty good job" in dealing with the Commonwealth Financial Planning (CFP) case that prompted a Senate inquiry into the overall performance ...

ASIC bans former authorised representative

LAURA MILLAN  |  WEDNESDAY, 26 MAR 2014
... and officer of CS Heritage Securities has been permanently banned from providing financial services by the Australian Securities and Investment Commission (ASIC). The regulator found that Phillip Gregory Spark had engaged in misleading and deceptive ...

Silk questions value of financial services intermediaries

LAURA MILLAN  |  TUESDAY, 25 MAR 2014
... trustees. Silk spoke yesterday at a panel session on "the over-intermediation of financial services" at the Australian Securities and Investments Commission (ASIC) forum in Sydney. Quoting Rainmaker data, Silk argued that the superannuation industry ...

Market wrap AM

AAP  |  TUESDAY, 25 MAR 2014
... news on Tuesday, Reserve Bank of Australia deputy governor Philip Lowe is slated to give a speech at the Australian Securities and Investments Commission (ASIC) holds its Annual Forum. In equities news, Premier Investments and New Hope are expected to ...

FoFA freeze a consequence of pro-consumer campaign: Silk

LAURA MILLAN  |  MONDAY, 24 MAR 2014
... campaign" against "elements" that were pushing the legislation away from consumer interest. Speaking at the Australian Securities and Investments Commission (ASIC) forum in Sydney, Silk reacted shortly after Cormann's announcement. "Government is responding ...

Whistleblower claims the existence of 100 CBA rogue advisers

LAURA MILLAN  |  MONDAY, 24 MAR 2014
... Financial Planning adviser and whistleblower Jeffrey Morris has "no doubt" that a proper investigation by the Australian Securities and Investments Commission (ASIC) would reveal at least 100 current or former rogue CBA advisers. In a submission to the ...

Australia has softer approach to corporate wrongdoing

LAURA MILLAN  |  FRIDAY, 21 MAR 2014
Australia has a softer approach than other countries to corporate wrongdoing, a report by the Australian Securities and Investments Commission (ASIC) released today found. Report 387 Penalties for corporate wrongdoing compared penalties in Australia ...

ASFA appoints first COO

JAMES FERNYHOUGH  |  FRIDAY, 21 MAR 2014
... company secretary and chief financial officer at Oasis Asset Management. He has also held positions at the Australian Securities and Investment Commission (ASIC) and Treasury. ASFA chief executive Pauline Vamos said: "The new COO role is key to delivering ...

Government limits general advice exemption in FoFA amendments

LAURA MILLAN  |  THURSDAY, 20 MAR 2014
... clients in the last 12 months, and financial product recommended must be issued or sold by the licensee. The Australian Securities and Investments Commission (ASIC) will monitor the use of conflicted remuneration provisions related to general advice ...

FOS model outdated, in need of major change

LAURA MILLAN  |  WEDNESDAY, 12 MAR 2014
... Navigator (CRN) is the first independent review that the FOS has undertaken in five years, this is despite the Australian Securities and Investments Commission (ASIC) requiring that it "must commission regular independent reviews." The CRN review found ...