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Showing 651 - 660 of 1464 results for "Investments Commission"

Highly educated SMSF investors prime fraud targets

MELANIE TIMBRELL  |  TUESDAY, 10 JUL 2012
... serious and organised investment fraud in the last five years," Clare said. The Australian Securities and Investments Commission (ASIC), AUSTRAC and the Australian Tax Office are working with the ACC as part of Task Force Galilee, which is "seeking to ...

ASIC uncovers investment scam

LINDA HAUSKEN  |  FRIDAY, 6 JUL 2012
The Australian Securities & Investments Commission has obtained court orders against the operators of a Gold Coast based unlicensed financial services business, following an investigation that resulted in 37 investors losing approximately $680,000. ...

Former adviser pleads guilty to dishonest dealings

LINDA HAUSKEN  |  TUESDAY, 3 JUL 2012
... deception and two counts of dishonest dealings with documents. The charges arose from Australian Securities & Investments Commission's (ASIC) investigation into his conduct as a financial adviser. According to ASIC, Carll deceived two clients about his ...

Aust advisers to get dual Aust-NZ recognition

LINDA HAUSKEN  |  MONDAY, 2 JUL 2012
Australian Securities & Investments Commission has partnered with New Zealand's Financial Markets Authority to implement mutual recognition arrangements for Australian and New Zealand advisers. The Trans-Tasman mutual recognition arrangements will enable ...

National exam to raise quality of advice

LINDA HAUSKEN  |  FRIDAY, 29 JUN 2012
The Australian Securities & Investments Commission is set to consult with the advice industry on its proposal to develop and implement a national exam for advisers. As part of its next phase on its consultation proposal, Australian Securities & Investments ...

Adviser pleads guilty to dishonest conduct

LINDA HAUSKEN  |  WEDNESDAY, 27 JUN 2012
... second offence carries 10 years imprisonment or a $450,000 fine. In February, the Australian Securities & Investments Commission permanently banned Heathwood from providing financial services following the regulators investigation into the conduct.

Cold calling scammer gets 10 year ban

LINDA HAUSKEN  |  TUESDAY, 26 JUN 2012
Australian Securities & Investments Commission has banned City Index Australasia and its director, Blair Jason Travers, from the financial services industry for 10 years after being found guilty of a cold calling scam. Australian Securities & Investments ...

ALI penalised after compliance failures

BEN COLLINS  |  WEDNESDAY, 20 JUN 2012
The Australian Securities & Investments Commission has imposed additional compliance conditions on Sydney-based insurance group, Australian Life Insurance Distribution Pty Ltd for failing to comply with a number of its obligations as an Australian financial ...

ASIC issues short PDS guidance

BEN COLLINS  |  TUESDAY, 19 JUN 2012
The Australian Securities & Investments Commission (ASIC) has issued guidance for issuers of superannuation products and simple managed investment schemes about how to comply with the shorter product disclosure statement regime. The shorter Products ...

ATO warns on structured products

MELANIE TIMBRELL  |  FRIDAY, 15 JUN 2012
... from an independent adviser or seek a ruling from the ATO," D'Ascenzo said. The Australian Securities & Investments Commission has also been notified on the marketing of the schemes, according to the commissioner.