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Showing 641 - 650 of 1464 results for "Investments Commission"

ASIC raises bar on OTC derivatives

MELANIE TIMBRELL  |  WEDNESDAY, 1 AUG 2012
... derivatives, will have to meet new financial requirements just released by ASIC. The Australian Securities & Investments Commission (ASIC) yesterday announced an increase in minimum net tangible asset (NTA) requirements for retail over-the-counter (OTC) ...

ASIC cancel Morrison Carr AFSL

LINDA HAUSKEN  |  TUESDAY, 31 JUL 2012
Australian Securities & Investments Commission has cancelled the Australian financial services and credit license of Morrison Carr Financial Services following a surveillance of the national planning business The sole director of Morrison Carr Financial ...

ASIC boosts Stronger Super education program

LINDA HAUSKEN  |  FRIDAY, 27 JUL 2012
The Australian Securities & Investments Commission has developed several initiatives to inform and educate the superannuation industry through the implementation of the Stronger Super reforms. The regulator's decision to assist the industry with complying ...

"Bad apples" slipping through the cracks: ASIC

BEN COLLINS  |  THURSDAY, 26 JUL 2012
... (AFA) national road show in Sydney yesterday, Nick Coates, senior manager at the Australian Securities & Investments Commission (ASIC), outlined the regulator's top priories for the advice industry. He said that ASIC "was not taking a holiday" on surveillance ...

CYRE Trilogy, APFG still fighting

BEN COLLINS  |  FRIDAY, 20 JUL 2012
... Growth Fund is refusing to disclose its register of unit holders in defiance of an Australian Securities & Investments Commission order, said the directors of CYRE Trilogy. Bank of Queensland Chairman Neil Summersen is also chairman of the Australian ...

AFA releases draft code of conduct

BEN COLLINS  |  THURSDAY, 19 JUL 2012
... of conduct. The draft was released with a view to it being finalised before the Australian Securities & Investments Commission provides regulatory guidance in the area, said AFA. "After that point, associations will need to finalise their codes and submit ...

ASIC bans Sydney adviser

LINDA HAUSKEN  |  WEDNESDAY, 18 JUL 2012
The Australian Securities & Investments Commission has banned Sydney based adviser Colin James Oberg from providing financial services after he withdrew over $1.55 million of client funds without approval. At the time of the offence, Oberg was a financial ...

ASIC eyes off UL property

BEN COLLINS  |  WEDNESDAY, 18 JUL 2012
The Australian Securities & Investments Commission yesterday released the findings of a proactive review of responsible entities operating managed investment schemes in the unlisted property sector. As part of this review, the Australian Securities ...

ASIC closes in on SMSF advice firms

LINDA HAUSKEN  |  FRIDAY, 13 JUL 2012
The Australian Securities & Investments Commission has obtained interim court orders against two Queensland-based self-managed superannuation advice companies, following concerns that the firms have misled investors about their investments. The corporate ...

ASIC bans unlicensed Sydney adviser

LINDA HAUSKEN  |  THURSDAY, 12 JUL 2012
Australian Securities & Investments Commission has permanently banned Sydney based adviser Ropati Broederlow after it found he acted dishonestly and made false and misleading statements in relation to financial products. Broederlow was also operating ...