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Showing 681 - 690 of 1464 results for "Investments Commission"

ASIC strikes against currency trader

MELANIE TIMBRELL  |  TUESDAY, 3 APR 2012
The Australian Securities and Investments Commission has launched strike-off action against Brisbane-based TRADERS SERVICES, formerly known as Your Trading Room. While the current strike-off action relates to unpaid licence fees, reports allege that ...

Flaws in advice system revealed by ASIC report

ELISE BURGESS  |  WEDNESDAY, 28 MAR 2012
... revealed flaws in our current advice system, according to some industry figures. The Australian Securities and Investments Commission (ASIC) released the full report of its retirement advice shadow shopping research, previously mentioned during the Parliamentary ...

ASIC appoints new commissioner

CLAIRE MCGREAL  |  FRIDAY, 23 MAR 2012
... new ASIC commissioner on a three year term. Price has worked as a lawyer at the Australian Securities and Investments Commission (ASIC) for the past 12 years, holding a number of senior positions. He was involved in fundraising, mergers and acquisitions ...

ASIC, FPA, and FOS address shadow shopper report

ELISE BURGESS  |  WEDNESDAY, 21 MAR 2012
... for advisers to combat issues found in an upcoming ASIC Shadow Shop survey. The Australian Securities and Investments Commission (ASIC) revealed in February that conflict of interest has again emerged as a problem for consumers in its latest shadow shop ...

AAT confirms ASIC planner ban

ELISE BURGESS  |  FRIDAY, 16 MAR 2012
... seven years. Nguyen of Dulwich Hill, New South Wales, was disqualified by the Australian Securities and Investments Commission (ASIC) in March 2011 after it found he failed to comply with financial services laws during his time as an authorised representative ...

PIS names new risk manager

ELISE BURGESS  |  THURSDAY, 15 MAR 2012
... processes. PIS in currently in its final phase of an enforceable undertaking with the Australian Securities and Investments Commission (ASIC) after the regulator raised concerns PIS was not meeting its legal obligations as a financial services provider. ...

Tech providers relish multi-exchange environment

MELANIE TIMBRELL  |  WEDNESDAY, 7 MAR 2012
... exchanges as well as solutions to help automate trading and route orders." The Australian Securities and Investments Commission is requiring participants to comply with their best executions obligations by the end of October 2012. Under the obligations ...

Adviser banned for chasing commissions

ELISE BURGESS  |  WEDNESDAY, 7 MAR 2012
... financial advice and arranged life insurance. During an investigation by the Australian Securities and Investments Commission (ASIC), it found Heathwood falsified 65 insurance policies between 2010 and 2011 for the purpose of being paid commissions. ...

FOFA provisions will go ahead: PJC

ELISE BURGESS  |  THURSDAY, 1 MAR 2012
... annual fee disclosure obligations for existing retail clients. On the role of the Australian Securities and Investments Commission (ASIC), the report highlighted a number of areas where the regulator would increase its monitoring, including a shadow ...

ASIC wants more pay disclosure

MELANIE TIMBRELL  |  THURSDAY, 1 MAR 2012
... their game on executive and director remuneration disclosure, according to the Australian Securities and Investments Commission. A review of 50 remuneration reports from 300 of Australia's largest companies for the year ended June 2011 revealed improvements ...