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Showing 721 - 730 of 833 results for "Corporations Act"

ASIC offers super switching guides

... and Securities Commission (ASIC) has released a guide aimed at ensuring financial advisers do not breach the Corporations Act 2001 when giving advice about switching superannuation funds in the new Choice environment. The material has been put together ...

Unlicensed financial adviser caught out

... business without an Australian financial services license (AFSL). The regulator alleges Maxwell breached the Corporations Act 2001 by running Business Express Success Techniques Pty Limited, a financial services company offering investment advice, without ...

ASIC provides guidance on superannuation calculators

... where the provider is already licensed from some of the conduct and disclosure provisions in Part 7.7 of the Corporations Act 2001 (the Act). Under the ASIC Class Order (CO 05/611) 'Relief for providers of superannuation calculators' providers who meet ...

ASIC provides guidance about Choice advice

... choice of superannuation fund legislation. The guidance is designed to ensure employers do not contravene the Corporations Act 2001 when giving advice to their employees about Choice, and in particular, that they do not provide financial services advice ...

Interim relief for super fund product disclosure extended

Superannuation trustees will now not have to satisfy the product disclosure requirements of s1012IA of the Corporations Act 2001 until 30 June 2006. The development comes after the Australian Securities and Investments Commission (ASIC) decided to extend ...

Charges against HIH dep chair dismissed

... Abbott be dismissed. Abbott faced one charge of dishonestly misusing his position as a company director under the Corporations Act. ASIC had alleged that Abbott had dishonestly misused his position to procure a payment to a company associated with him ...

ASIC documents and expands relief rulings

... updated report detailing its relief rulings given to financial service providers from certain provisions of the Corporations Act 2001, and has also issued a new class order broadening the relief available to responsible entities of managed investment ...

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 ...