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Showing 681 - 690 of 885 results for "Australian Financial Services"

PIS in Westpoint compensation deal

ASIC RELEASE  |  TUESDAY, 15 SEP 2009
... 2007 alleging that PIS, in providing such advice, was negligent and breached the conditions of its Australian financial services licence. The settlement with PIS, if approved by the court, will result in compensation being paid by PIS - details of which ...

Suncorp FUM down, life risk profits up

MICHAEL HOBBS  |  TUESDAY, 25 AUG 2009
... in an earlier trading update. "The 2009 financial year coincided with the most volatile period in Australian financial services history and although underlying performance remained solid, each of our businesses was impacted by unfavourable operating ...

ASIC slaps six year ban for MIS fraud

ASIC RELEASE  |  MONDAY, 24 AUG 2009
... registered but was not. West carried on a financial services business while not being the holder of an Australian financial services licence, and did not provide a product disclosure statement in connection with making offers to retail clients to issue ...

SMSFs targeted in $428k swindle

ASIC RELEASE  |  FRIDAY, 21 AUG 2009
... abetting dishonest conduct in relation to a financial product. Neither Mr. nor Mrs. White held an Australian financial services licence. Both were sentenced in the Victorian County Court.

QSuper bulks senior investment team

COMPANY RELEASE  |  WEDNESDAY, 29 JUL 2009
... Prudential Regulation Authority. This is in addition to QSuper Limited's successful application for an Australian Financial Services Licence to provide general financial product advice on superannuation. The QSuper Board of Trustees governs QSuper, the ...

EQT head to retire

COMPANY RELEASE  |  THURSDAY, 16 JUL 2009
... has been managing director at the firm for seven years and has more than 40 years experience in Australian financial services. The firm's board has asked Egon Zehnder to search for Williams' successor. Tony Killen, chair at Equity Trustees, said thanked ...

No proof lack of regulation caused GFC: APRA

ALEX DUNNIN  |  FRIDAY, 26 JUN 2009
... the first event caused the second event," explained David Lewis, APRA general manager at the UBS Australian Financial Services Conference yesterday. "Understandably, when there has been a breakdown in financial markets of the magnitude of the one we ...

Broker gets permanent ban from ASIC

COMPANY RELEASE  |  THURSDAY, 25 JUN 2009
... breached a financial services law by carrying on a financial services business while not holding an Australian Financial Services Licence. "ASIC will not hesitate to ban individuals who disregard their obligations under the Corporations Act 2001. The ...

Court convicts unlicensed Westpoint planner

PRESS RELEASE  |  MONDAY, 20 APR 2009
... Westpoint related companies. He pleaded guilty to the charge of providing financial advice with an Australian financial services licence (AFSL). As a result of the conviction, Rowntree is disqualified from managing corporations for five years. Companies ...

Charged for no AFSL

ASIC RELEASE  |  TUESDAY, 14 APR 2009
... Queensland directors who dealt in financial products, including Westpoint promissory notes, without an Australian financial services licence (AFSL). Barry William Silver, of Arundel, Robert Peers Button (also known as 'Bob Button') of Currumbin Waters ...