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Showing 6671 - 6680 of 6698 results for "Securities"

SA adviser joins son on ASIC banned list

Paul Cully The Australian Securities and Investments Commission (ASIC) today handed down a two year ban to South Australia financial adviser Kevin Lehman for unauthorised dealing in superannuation and insurance products, one month after his son Klinton ...

ASIC appoints McLaughlins to manage $37 million property schemes

... entity for 15 managed investment schemes worth approximately $37 million, following an application by the Australian Securities and Investments Commission (ASIC). The 15 schemes were controlled by Entitle Limited (Entitle), who, according to ASIC, had ...

Hedge fund performance falls 0.1% in February: VHFA

... Hedge Funds Index fell by 0.1 per cent in February as even the relative success of short selling, macro and distressed securities strategies failed to help the Index as a whole ensure a positive return. "Excluding the impact of funds of funds, the Index ...

Another adviser pleads guilty to ASIC charges

... dishonestly coaxing an elderly client to transfer money into his account or those held by his own company, the Australian Securities and Investments Commission (ASIC) said today. The charge was laid following an ASIC investigation into Mudge's conduct ...

ASIC obtains permanent orders against investment directors

John Fernando The Australian Securities and Investments Commission (ASIC) has obtained permanent orders in the Supreme Court of Queensland against Kevin and Kathleen Young and the four companies of which they were directors - The Investors Club, Lisson ...

ASIC issues updated tip sheet for below-par auditors

John Fernando The Australian Securities and Investments Commission (ASIC) today announced that it has issued an updated information sheet to provide guidance for applicants wishing to register as a company auditor. The information sheet, entitled 'how ...

ASIC reaches agreement with former One.Tel boss

John Fernando The Australian Securities and Investments Commission (ASIC) has reached a $750,000 agreement with former One.Tel director Bradley Keeling following court proceedings against him. Keeling, along with Jodee Rich, Mark Silbermann and John ...

BT Wrap extended to Westpac Planners

... to new investors with $50,000 to invest." "Westpac advisers now have access to a selection of hand-picked ASX listed securities, margin lending and 62 managed funds-including nine external managers, in addition to proprietary funds, such as the recently ...

ASIC suspends registration of Sydney-based liquidator

John Fernando The Australian Securities and Investments Commission (ASIC) today announced the suspension of registration of John Greer as both a registered company auditor and registered liquidator for a period of four years as he failed to adequately ...

Financial services urged to obtain their AFS licenses soon

John Fernando The Australian Securities and Investments Commission (ASIC) today reminded all financial service providers that they must obtain their Australian financial services (AFS) licence in time if they are to continue operating beyond March 10 ...