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Showing 61 - 70 of 245 results for %22Australian Securities and Exchange Commission%22

ASIC orders additional AFSL conditions on Sydney firm

LAURA MILLAN  |  MONDAY, 26 AUG 2013
The Australian Securities and Investments Commission (ASIC) has imposed additional licence conditions on the Australian financial services licence (AFSL) of a Sydney-based firm. ASIC identified concerns about the adequacy of Roco International's market ...

Perpetual not concerned about ACCC initial report

LAURA MILLAN  |  FRIDAY, 2 AUG 2013
... resolve issues identified as result of market inquiries," the company said in a statement to the Australian Securities Exchange (ASX). The ACCC will issue its conclusions on September 19, 2013. But in an initial statement it said that "the proposed acquisition ...

Centrepoint spent $4.9 million in client claims

LAURA MILLAN  |  WEDNESDAY, 24 JUL 2013
... client claims in relation to the performance of some of its advisers. The company revealed to the Australian Securities Exchange (ASX) that the group had a net loss after tax of $4.2 million in financial year 2013, which comprises a loss before tax of ...

US regulator lifts hedge fund advertising ban

MARK SMITH  |  FRIDAY, 12 JUL 2013
... said. Meanwhile, Australian hedge funds enjoy one of the most liberal advertising regimes in the world. The Australian Securities and Investments Commission (ASIC) does not distinguish between hedge funds and more conventional investment vehicles. The ...

ASIC to focus on analyst briefings

LAURA MILLAN  |  MONDAY, 8 JUL 2013
... analysts and understand their procedures. The decision to focus on analyst briefings comes after the Australian Securities Exchange (ASX) issued a revised Guidance Note 8, which assists listed entities to understand their disclosure obligations and requires ...

EQT to take Trust-Perpetual acquisition to ACCC

LAURA MILLAN  |  THURSDAY, 13 JUN 2013
... markets if Perpetual acquires The Trust Company. In a letter to its shareholders made public by the Australian Securities Exchange (ASX), EQT also said that it is "actively considering ways and means of incorporating a cash component in the revised offer." ...

ASIC continues proceedings against Wellington Capital

LAURA MILLAN  |  TUESDAY, 11 JUN 2013
The Australian Securities and Investments Commission (ASIC) has taken a new step on its legal proceeding against Wellington Capital, the responsible entity of the Premium Income Fund (PIF) in the Federal Court of Australia. The Court considered that ...

ACR files claim against The Trust Company

LAURA MILLAN  |  WEDNESDAY, 29 MAY 2013
... considers this claim made against it to be without basis," the company said in an announcement to the Australian Securities Exchange. "The Trust Company will continue to act in the best interests of debenture holders of ACR and will continue to work ...

Yuan to float free, in our dreams

BENJAMIN ONG  |  WEDNESDAY, 22 MAY 2013

Chi-X opens to all Australian listed stocks

LAURA MILLAN  |  MONDAY, 6 MAY 2013
... The latest Chi-X results show that around one in five trades on its platform deliver price improvement. An Australian Securities and Investment Commission (ASIC) report said last month that Chi-X participants have saved $300 million in the last year. ...