Search Results | Showing 681 - 690 of 885 results for "Australian Financial Services" |
| | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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. |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
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