Search Results | Showing 671 - 680 of 808 results for "Corporations Act" |
| | | ... been given and the retail client loses money as a consequence. The regulation complements section 912B of the Corporations Act 2001. It takes effect on 1 July following extensive industry consultations and feedback. |
| | | | ... Citigroup to declare that it breached both the 'conflicts of interest' and 'insider trading' provisions of the Corporations Act (the Act). The regulator also wants injunctions restraining Citigroup from engaging in similar breaches and fines paid for ... |
| | | | ... be disclosed, said Financial Planning Association (FPA) chief executive officer Jo-Anne Bloch. "Firstly, the Corporations Act already requires financial planners to give advice which is appropriate to clients' needs. Second, financial planners have a ... |
| | | | ... businesses, Mark Hughes of Newcastle, George Angelopoulos and Helen Gougas, both of Melbourne, had breached the Corporations Act in operating an unregistered business, carrying on a financial services business and providing financial services without ... |
| | | | ... providing financial advice unsupervised and signing another adviser's name on statements of advice, breaching the Corporations Act. ASIC's deputy executive director of enforcement, Allen Turton, said incomplete disclosure or information on statements ... |
| | | | ... SMS Advising Group, SMS Administration Group and its sole director, Barbara Cavanough, in contravention of the Corporations Act. The court also ordered the companies themselves be wound up. In May Cavanough was banned from providing financial advice ... |
| | | | ... superannuation clearing houses and electronic payment facilities are ordinarily financial products for the purposes of the Corporations Act because they are facilities through which non-cash payments can be made. "Accordingly, in most cases, ASIC expects ... |
| | | | ... subsidiary, Fendwave, which provided unsolicited offers to prospective investors using documents that contravened the Corporations Act. ASIC has investigated Fendwave about the unsolicited offers to shareholders to purchase securities in its subsidiary ... |
| | | | ... liabilities and any third party claims, any suspicions that members of Intertax or their officers have breached the Corporations Act or the Australian Securities and Investment Commission Act, the keeping of proper books, the identities and nature of ... |
| | | | ... $40,000 in November 2003 for which he failed to provide a Statement of Advice. ASIC found that Flegg breached the Corporations Act in failing to make independent inquiries into the nature of the investment and to ensure that his advice was appropritate ... |
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