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Showing 671 - 680 of 1464 results for "Investments Commission"

FPA calls for improved education on advice

LINDA HAUSKEN  |  TUESDAY, 8 MAY 2012
... inclusion in the national curriculum. The Financial Planning Association (FPA), Australian Securities & Investments Commission (ASIC) and the Financial Ombudsman Service (FOS) hosted an educational workshop for advisers to combat issues addressed in ...

ASIC warns industry about misusing term independent

LINDA HAUSKEN  |  THURSDAY, 3 MAY 2012
... publicly naming companies found to be in breach. In a recent surveillance project, Australian Securities and Investments Commission (ASIC) found 21 instances of insurance brokers and financial planners making statements about the independence of the ...

ASIC flags guidance on code approval

MELANIE TIMBRELL  |  WEDNESDAY, 2 MAY 2012
... advice sector, following changes to the FOFA Bill. Under recent changes, the Australian Securities and Investments Commission (ASIC) would have the ability to exempt advisers from the opt-in obligation if the regulator was satisfied that the adviser ...

FPA calls on ASIC for clearer advice definitions

LINDA HAUSKEN  |  WEDNESDAY, 2 MAY 2012
The Financial Planning Association has called on The Australian Securities and Investments Commission for greater clarity and definitions of quality advice. Approximately 150 practising financial planners, along with licensees and compliance, legal ...

CPA responds to advice exemption

MELANIE TIMBRELL  |  TUESDAY, 1 MAY 2012
... financial planning, tax and accounting bodies, the Tax Practitioners Board and the Australian Securities and Investments Commission. "This will allow for the details of the regulatory model to be settled and ensure resolution of implementation issues ...

ASIC bans adviser following fraud conviction

BEN COLLINS  |  TUESDAY, 24 APR 2012
The Australian Securities & Investments Commission has permanently banned Christos Papaioannou, also known as Chris Pappas, from providing financial services following his conviction on fraud charges in the Magistrates Court of Victoria. On 29 March ...

ASIC obtains order banning derivatives trading director

BEN COLLINS  |  TUESDAY, 24 APR 2012
Australian Securities & Investments Commission action has resulted in Neil William King, formerly of Brighton, Victoria, being removed from the financial services industry for six years. In proceedings brought by Australian Securities & Investments ...

ASIC suspends practice licence

ELISE BURGESS  |  TUESDAY, 17 APR 2012
... Australian Performance Financial Planning for three months for unknown reasons. The Australian Securities and Investments Commission (ASIC) suspended the Australian financial services licence of the Sydney-based planning practice until July 1 2012, the ...

Social media trials in US continue

ELISE BURGESS  |  WEDNESDAY, 11 APR 2012
... regulation would also shape the way the medium would develop. In Australia, the Australian Securities and Investments Commission (ASIC) stepped back from its previous hard stance on social media, releasing guidelines on social media posts and online ...

CFP adviser offers ASIC EU

ELISE BURGESS  |  THURSDAY, 5 APR 2012
... years after he failed to meet various obligations as a financial adviser. An Australian Securities and Investments Commission (ASIC) investigation into the conduct of several CFPL adviser actions revealed that between March 1 2005 and February 27 2009 ...

Editor's Choice

Mercer Super chief executive steps down

RIDDHIMA TALWANI
Mercer Super chief executive Claire Ross is departing after almost 17 years in senior leadership roles at the retail super fund.

AusFood Super looks to revitalise member engagement

MATTHEW WAI
The $3.5 billion super fund has partnered with InvestStream to launch RetireSmart+, becoming the first super fund to bring an AI-powered engagement experience to some 66,000 members.

L1 Group posts 'marked recovery' in June quarter

RIDDHIMA TALWANI
L1 Group has reported a marked recovery in investment performance in the June quarter.

European PE firm mandates Apostle with Australian distribution

RIDDHIMA TALWANI
Apostle Funds Management has been appointed by European investment firm Triton Partners for the distribution of its credit strategies in Australia and New Zealand.

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