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Showing 6681 - 6690 of 6698 results for "Securities"

ASIC "disappointed" with fundraising non-disclosures

John Fernando The Australian Securities and Investments Commission (ASIC) announced today that it had issued 51 interim stop orders and eight final stop orders on prospectuses or Offer Information Statement (OIS) since July 1 2002. The announcement ...

BlackRock wins $330 million UniSuper fixed income mandate

... Financial Management to manage a $330 million active global credit portfolio of corporate debt and asset/mortgage backed securities, it announced today. In a $1.7 billion restructure of its fixed income investment structure, UniSuper has also retained ...

Footscray super accounting assistant pleads guilty to fraud

... superannuation funds to pay out cash benefits to his clients. The charges were filed against Ngo by the Australian Securities and Investments Commission (ASIC) under the superannuation industry (Supervision) Act. The charges were based on a total of ...

ASIC blacklists ex-Colonial planner for client 'churning'

... commissions by 'churning' the superannuation funds of approximately 73 clients has given an undertaking to the Australian Securities and Investments Commission (ASIC) that he will not act as a representative of an Australian Financial Services (AFS) ...

ASIC extends transitional relief period for closed funds to 2010

John Fernando The Australian Securities and Investments Commission (ASIC) today announced that it would extend the period of transitional relief, which would negate costs, burdens and investor protections related to transitional and registration requirements ...

Planners concede need for tighter policing: Adviser Ratings

... In a survey of 700 planners conducted in the wake of the damning Australian Consumers Association (ACA)/Australian Securities and Investments Commission (ASIC) report, Adviser Ratings said that 94 per cent thought that "policing and prosecution of regulation ...

Repeat offender gets ASIC life ban

John Fernando The Australian Securities and Investments Commission (ASIC) has permanently banned Robert Reynolds from acting as a representative of a securities dealer or an investment adviser, it said today. Reynolds, of Queensland, was handed down ...

ASIC moves to prevent repetition of Groundhog scheme

... million from 161 Australian investors in a scheme that had promised returns of 10 per cent per month. The Australian Securities and Investments Commission (ASIC) said today it had applied for orders to wind up Groundhog Developments, Enterprise Management ...

Costello "sympathetic" to tighter payout regulations

... series of controversial termination packages to Australian executives. "I have spoken to the chairman of the Australian Securities and Investment Commission (ASIC)," said Costello in an interview with John Laws on Southern Cross radio. " I have said ...

ASIC orders Retireinvest to improve its disclosure standards

John Fernando The Australian Securities and Investments Commission (ASIC) today announced that it has obtained an assurance from Retireinvest, a licensed securities dealer, that it will improve its disclosure methods following concerns that its customers ...