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Showing 641 - 650 of 687 results for "Proceedings"

Eight year gaol sentence for former financial adviser

... and punished." The Commonwealth Director of Public Prosecutions acted against Higgins on ASIC's behalf. The criminal proceedings came after the regulator had already taken civil action against Higgins. These proceedings culminated on 19 June 2003 when ...

Fincorp feels ASIC's displeasure

Financial watchdog ASIC has filed proceedings in the NSW Supreme Court against the heavily publicized Fincorp Investments. ASIC is alleging that Fincorp offered securities under a replacement prospectus, which contained misleading or deceptive statements ...

Adler appeal dismissed

... criminal court of appeal dismissed an appeal by former HIH director Rodney Adler for a permanent stay of criminal proceedings brought by ASIC. Mr Adler was committed to stand trial in July 2003 for criminal proceedings involving three counts of stock ...

Westpac moves 2004 AGM to New Zealand

AAP  |  TUESDAY, 7 SEP 2004
... it has NZ Class 30,000 shareholders. The bank said the move reflects the commitment of Westpac\'s Board to move the proceedings outside of Sydney from time to time. The AGM will be on 16 December in the Grand Ballroom of The Carlton Hotel, Auckland. ...

ASIC flexes civil powers

The Australian Securities and Investments Commission (ASIC) has for the first time filed civil proceedings alleging insider trading against John Petsa and March Milot. "This is the first time ASIC has taken civil penalty proceedings for a breach of ...

ASIC files proceedings against former ANZ bank employee, client

Australia\'s corporate regulator today said it had filed proceedings against a former ANZ bank employee and his client, on allegations that they engaged in insider trading in January 2003. The Australian Securities and Investments Commission (ASIC) ...

UK launches probe into Citigroup bond trading

AAP  |  THURSDAY, 19 AUG 2004
... enquiry but declined to comment further. The Financial Services Authority said the probe may lead to formal disciplinary proceedings under the Financial Services & Markets Act 2000.

ASIC commences proceedings against Sydney firm, broker

AAP  |  FRIDAY, 13 AUG 2004
The corporate watchdog has commenced proceedings against a Sydney-based finance and insurance firm and one of its brokers. The Australian Securities and Investments Commission (ASIC) today said it was taking action against Abbotsford firm Marantmar ...

Rivkin vows to fight claims heading for the federal court

AAP  |  WEDNESDAY, 4 AUG 2004
... stockbroker Rene Rivkin, said it had been informed of the pending allegations by three defendants it is battling in other proceedings. RFS said Sofcomm, Fast Scout and Altera Capital, which have stakes in RFS, have served it with a defence to proceedings ...

ASIC takes Market Traders to court

AAP  |  FRIDAY, 11 JUN 2004
Australia's corporate watchdog has begun legal proceedings against Market Traders Instituted Australasia for conducting a financial services business without a license. The Australian Securities and Investments Commission (ASIC) has started proceedings ...