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Showing 751 - 760 of 1464 results for "Investments Commission"

Chartwell dir Hoy jailed 13 yrs

ELISE BURGESS  |  THURSDAY, 24 MAR 2011
... 32 counts of obtaining property by deception following an investigation by the Australian Securities and Investments Commission (ASIC). It was found that Hoy dishonestly obtained $22 million in total, $13.3 million through false representations to investors ...

ASIC starts shadow shopping

ELISE BURGESS  |  MONDAY, 21 MAR 2011
The Australian Securities and Investments Commissions (ASIC) will look at the "quality" of retirement financial advice available to consumers in a new shadow shopping exercise that will start this year. ASIC will begin shadow shopping research to judge ...

ASX builds rival platform take on Chi-X

ELISE BURGESS  |  WEDNESDAY, 16 MAR 2011
The ASX is set to introduce its own new products for equity traders as it loses its hold on Australian equities trading and prepares for the new competitive market starting later this year. Reacting to the Australian Securities and Investments Commissions ...

ASIC and govt launch MoneySmart.gov.au

ELISE BURGESS  |  TUESDAY, 15 MAR 2011
Australian Securities and Investments Commission (ASIC) has launched a personal finance website, MoneySmart, offering free financial information and tools. The website is designed to help people when making financial decisions with 26 tools available ...

ASIC clampdown on poor business models in advice

ELISE BURGESS  |  MONDAY, 14 MAR 2011
The Australian Securities and Investments Commission (ASIC) will introduce tough measures - including suspension or cancellation of licences - against financial advice groups that have turned complacent on their compliance and dispute resolution policies. ...

ASIC slaps seven-year ban on planner

ELISE BURGESS  |  FRIDAY, 11 MAR 2011
The Australian Securities and Investments Commission (ASIC) has banned former Commonwealth Financial Planning (CFP) adviser, Don Nguyen, from providing financial services for seven years. Nguyen worked as a financial adviser at CFP between 1 October ...

ASIC brings charges against Opes Prime chief

ELISE BURGESS  |  TUESDAY, 1 MAR 2011
... Lirim (Laurie) Emini, has pleaded not guilty to 26 charges brought on by the Australian Securities and Investments Commission (ASIC). Now committed to stand trial, Emini, 47, is facing 22 charges relating to ASIC charges that between July 2006 and February ...

Century Funds manager bid fails

ELISE BURGESS  |  TUESDAY, 1 MAR 2011
... Century having focused on the trust's poor performance and the involvement of the Australian Securities and Investments Commission (ASIC) attempt to remove Opus' Financial Services licence in August 2010. "Under law the 50 per cent of total unitholders ...

ASIC bans former Storm adviser

ELISE BURGESS  |  FRIDAY, 25 FEB 2011
... providing financial services for four years following an investigation by the Australian Securities and Investments Commission (ASIC). Drummond was found guilty of making false and misleading statements and provided inappropriate advice to a number of ...

Poor advice fine to reach $200k

ELISE BURGESS  |  MONDAY, 21 FEB 2011
Financial advisers who break the law could face up to five years in jail and up to $200,000 in fines, based on proposed changes to industry laws. Currently a financial adviser that is found guilty of breaching their fiduciary duty could be charged a ...

Editor's Choice

Mercer Super chief executive steps down

RIDDHIMA TALWANI
Mercer Super chief executive Claire Ross is departing after almost 17 years in senior leadership roles at the retail super fund.

AusFood Super looks to revitalise member engagement

MATTHEW WAI
The $3.5 billion super fund has partnered with InvestStream to launch RetireSmart+, becoming the first super fund to bring an AI-powered engagement experience to some 66,000 members.

L1 Group posts 'marked recovery' in June quarter

RIDDHIMA TALWANI
L1 Group has reported a marked recovery in investment performance in the June quarter.

European PE firm mandates Apostle with Australian distribution

RIDDHIMA TALWANI
Apostle Funds Management has been appointed by European investment firm Triton Partners for the distribution of its credit strategies in Australia and New Zealand.

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