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Showing 721 - 730 of 816 results for "Corporations Act"

ASIC and APRA move to streamline intra-fund transfers

... prior to the intra-fund transfer. This includes notice to be given to transferred members under s1017B of the Corporations Act 2001 and a product disclosure statement for the new product they will acquire at least 30 days before the intra-fund transfer ...

Former financial adviser guilty of 18 criminal charges

... conduct in relation to a financial product or service while carrying on a financial services business under the Corporations Act, in the Local Court of NSW. Higgins' plea comes after ASIC brought 21 charges of dishonest misconduct against him in May ...

AFSLs growing in number

... that do not include all the information requested will be considered incomplete and, as stipulated under the Corporations Act, we will not accept them for lodgement." Johnston also warns holders of AFSLs that the regulator will be conducting random checks ...

Unsolicited offers by Ross Investments subjected to compliance checks

... Credit Ltd. The results of the investigation indicated to ASIC each of the offers contravened provisions under the Corporations Act, introduced in January 2004 to regulate unsolicited offers to purchase securities. The unsolicited offers made by Ross ...

Licensing relief for securitisation special purpose vehicles

... 2005 for participants in the industry to comply with the new exemption as well as the AFSL requirements of the Corporations Act. The new exemption applies to those special purpose securitisation entities dealing in financial products either on the advice ...

ASIC's share buy-back proposal

... its buy-back proposal in order to assist the regulator in developing its position on buy-back relief under the Corporations Act 2001. Under the proposal, ASIC seeks to set a maximum value for small parcels of shares that companies can buy back from their ...

Guidance on SOAs from ASIC

... Statements of Advice (SOAs) to help Australian financial services licensees fulfil their obligations under the Corporations Act 2001. The guide is aimed at addressing both content and presentation deficiencies discovered by ASIC after it reviewed a number ...

UniSuper Trustee investigated by ASIC on disclosure and complaints handling

... external compliance auditor to review its disclosure and complaints handling procedures under the SIS Act and Corporations Act 2001 and publish a disclosure statement on the fund's website. UniSuper will also provide its TI/PD members disclosure statements ...

Managing director pleads guilty to fraud

... has pleaded guilty in the Victorian County Court to five charges under the Crimes Act and two charges under the Corporations Act relating to his conduct as managing director of Corrpro Australia (Corrpro). The Commonwealth director of public prosecutions ...

Unlicensed company stopped from issuing securities

... advertising 'risk free' returns of 10 per cent per annum on loans provided to it. Ameya also contravened the Corporations Act 2001 by publicly offering securities. Ameya's director Deepak Avarsare has agreed to cease making investment offers immediately ...