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Showing 711 - 720 of 816 results for "Corporations Act"

ASIC moves to fine tune financial services guides

... says ASIC's director of regulatory policy Mark Adams. Currently regulations 7.7.04(2) and 7.7.07(2) under the Corporations Act 2001 requires FSGs to include specific and additional information about remuneration, commissions and other benefits even when ...

Gaol term or former HIH managing director

... companies. Cassidy pleaded guilty to two criminal charges under the Crimes Act (NSW) and one criminal charge under the Corporations Act. As part of his sentence Cassidy will only be required to serve 10 months in gaol and will be eligible for release ...

FPA releases draft conflict of interest guidelines

... financial planner's existing regulatory requirements but Brennan says some of the principals go further than the Corporations Act and also help to provide clarification for planners and dealer groups of their existing responsibilities. The draft principals ...

ASIC moves against a high-yield investment scheme.

... his own purposes. ASIC also alleged Hoy offered shares in Biograd Filters Pty Ltd, which was in breach of the Corporations Act 2001. The Supreme Court of Queensland has moved to restrain Hoy from making statements or disseminating information private ...

Federal Court reconsiders KordaMentha remuneration claim

... work done by them in assisting ASIC with its investigation and the two proceedings in the Federal Court. "The Corporations Act provides a procedure for the approval of administrators remuneration. ASIC will continue to examine the conduct of administrators ...

Unregistered investment scheme shut down

... were set up to promote the scheme and ASIC believes these organisations along with Peat may have breached the Corporations Act as the investment plan was not registered and no disclosure documents were ever provided to the scheme's contributors. The ...

ASIC acts against wealth management promoter

... also seek declarations from the Federal Court that both McIntyre and 21st Century Academy have contravened the Corporations Act 2001.

Primelife's settlement with ASIC comes at a high price

... regulator sought action against Primelife and other defendant concerning unregistered schemes as required under the Corporations Act 2001, which meant investors were not properly informed of their investment decisions nor was information property disclosed ...

ASIC's 'Super Switching' campaign catches Tasmanian adviser

... Services Partners failed to give a statement of advice to four clients within the time frame required under the Corporations Act 2001. This action occurred during the period September 2004 to October 2004. Moore has been charged with four counts of failing ...

Eight year gaol sentence for former financial adviser

... conduct in relation to a financial product or service, while carrying on a financial services business, under the Corporations Act 2001. Between March 1995 and March 2001 Higgins was a director of Macquarie Towns Financial Services and a licensed financial ...