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Showing 831 - 840 of 2080 results for "Australian Securities"

CBA and HSBC change 'misleading' ads

MARK SMITH  |  WEDNESDAY, 17 JUL 2013
... and HSBC Bank have changed their advertising for structured products aimed at retail investors after the Australian Securities and Investments Commission (ASIC) said they were potentially misleading. CBA's flyer compared investing $100,000 directly in ...

Bell Potter adviser banned for dishonest conduct

JAMES FERNYHOUGH  |  TUESDAY, 16 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned Bell Potter adviser Lawson Stuart Donald from providing financial services for dishonest conduct. Donald, who worked for the stockbroking firm between 2003 and 2008 ...

Storm claim unfair and baseless: CBA

LAURA MILLAN  |  MONDAY, 15 JUL 2013
... victims' lawyer will start legal proceedings against the $136 million settlement that the bank reached with the Australian Securities and Investments Commission (ASIC) last year. "CBA regards the application as unfair, fundamentally flawed, incompetent ...

Research houses flag 'rating shopping' to advisers

MARK SMITH  |  MONDAY, 15 JUL 2013
... products from the research process, have moved to publish a list of those managers more prominently. The new Australian Securities and Investments Commission (ASIC) regulatory guidelines, known as RG79, came into force from 1 July and are aimed at preventing ...

Perth broker gets 3 year ban for falsifying documents

LAURA MILLAN  |  FRIDAY, 12 JUL 2013
... Australia, has been banned from engaging in credit activities until 27 June 2016. An investigation from the Australian Securities and Investments Commission (ASIC) found that between November 2010 and September 2011 Schmelzkopf submitted to a lender ...

Storm lawyers take ASIC and CBA to court over settlement

LAURA MILLAN  |  FRIDAY, 12 JUL 2013
... Financial litigator Levitt Robinson Solicitors have questioned the $136 million settlement reached by the Australian Securities and Investments Commission (ASIC) and Commonwealth Bank last year. Levitt Robinson has filed a case against both organisations ...

Wellington forced to pay ASIC's cost of appeal

LAURA MILLAN  |  FRIDAY, 12 JUL 2013
Wellington Capital will be forced to cover the costs incurred by the Australian Securities and Investments Commission (ASIC) after the regulator brought legal proceedings against the responsible entity of the Premium Income Fund (PIF). The cost of the ...

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 finalises OTC derivatives reporting rules

MARK SMITH  |  FRIDAY, 12 JUL 2013
The Australian Securities and Investments Commission (ASIC) has issued its final rules around over-the-counter (OTC) derivatives trade reporting for financial institutions. The regime is set out in a package of rules and guidance released by ASIC today ...

BetaShares partners FTSE in new ETF launch

MARK SMITH  |  THURSDAY, 11 JUL 2013
... Australia 200 Index as the basis of its first Australian equity fundamental index ETF, which launches on the Australian Securities Exchange (ASX) today. The BetaShares FTSE RAFI Australia 200 ETF, which will trade under the ASX Code 'QOZ', is an alternatively ...