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Showing 661 - 670 of 1464 results for "Investments Commission"

ASIC winds up unregistered managed investment scheme

BEN COLLINS  |  FRIDAY, 15 JUN 2012
The Australian Securities & Investments Commission has obtained orders in the Supreme Court of New South Wales to wind up an unregistered managed investment scheme operated by Secured Bond Ltd. In proceedings on 28 May 2012, the Supreme Court also made ...

ASIC streamlines AFS licence process

LINDA HAUSKEN  |  WEDNESDAY, 13 JUN 2012
The Australian Securities & Investments Commission has updated its Australian financial services licence application process in an effort to cut red tape and make registration and licensing more efficient. Revisions to Australian Securities & Investments ...

New ETF labels need global consistency

MELANIE TIMBRELL  |  TUESDAY, 12 JUN 2012
Moves by the Australian Securities and Investments Commission to refine labels and naming conventions for ETFs should be globally consistent to optimise investor understanding, according to State Street. While welcoming the regulator's moves to improve ...

Former Lonsec director charged with insider trading

BEN COLLINS  |  THURSDAY, 7 JUN 2012
... charged with 14 counts of insider trading, following an ASIC investigation. The Australian Securities & Investments Commission investigation (ASIC) alleges that in the course of advising Clean Seas Ltd (Clean Seas), Graham received inside information ...

Trio: ASIC evidence insufficient to prosecute Flader

LINDA HAUSKEN  |  WEDNESDAY, 6 JUN 2012
... is well-known to the United States Securities and Exchange Commission (SEC). Australian Securities and Investments Commission (ASIC) said it will continue to provide relevant information relating to Flader to the Australian Federal Police and the Australian ...

Commonwealth FP adviser banned

LINDA HAUSKEN  |  TUESDAY, 5 JUN 2012
Australian Securities & Investments Commission has accepted an enforceable undertaking from former Commonwealth Financial Planning Limited (CFPL) employee, Joe Chan, after he was found to have failed to meet adviser obligations. Australian Securities ...

ASIC highlights CFD compliance issues

BEN COLLINS  |  FRIDAY, 1 JUN 2012
The Australian Securities & Investments Commission review of client money handling and reconciliation practices has shown non-compliance by a number of issuers of over-the-counter contracts for difference and margin FX derivatives. The Australian Securities ...

ASIC sets sights on dark pools

MELANIE TIMBRELL  |  THURSDAY, 31 MAY 2012
The Australian Securities and Investments Commission is exploring a range of alternatives to encourage dark pool participants to first trade on the lit market, issuing draft rules in June to propose requirements for demonstrated price improvement in ...

Medcraft to chair IOSCO

MELANIE TIMBRELL  |  FRIDAY, 18 MAY 2012
... capacity among members, will be held concurrently with his chair duties at the Australian Securities and Investments Commission. The Board also appointed Dr. Vedat Akgiray, chairman of the Capital Markets Board (CMB) of Turkey, and Ethiopis Tafara, director ...

ASIC moves on insider trading

MELANIE TIMBRELL  |  WEDNESDAY, 16 MAY 2012
... surveillance alerts indicating unusual trading activity each day. Deputy chairman of the Australian Securities and Investments Commission, Belinda Gibson, has said opportunities for insider trading are on the rise, although the regulator is moving on ...