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Showing 881 - 890 of 2080 results for "Australian Securities"

Merrill Lynch to pay $120k over compliance infringement

JAMES FERNYHOUGH  |  MONDAY, 3 JUN 2013
... penalty of $120,000 to comply with an infringement notice issued by the Markets Disciplinary Panel (MDP). The Australian Securities and Investments Commission (ASIC) said Merrill Lynch had failed to put in place "organisational and technical resources ...

AFS goes into liquidation

LAURA MILLAN  |  FRIDAY, 31 MAY 2013
... The Australian Financial Services (AFS) Group has been placed into voluntary liquidation, according to the Australian Securities and Investments Commission (ASIC). The resolution to wind up the company was made yesterday by creditors. At the same time ...

Wellington Capital to take PIF case to High Court

LAURA MILLAN  |  FRIDAY, 31 MAY 2013
... was invalid. The rule overturns an early decision of the same court, which dismissed an application by the Australian Securities and Investments Commission (ASIC). ASIC started legal proceedings in September 2012, after Wellington announced that ARL ...

TASA now likely to include advisers by July 2013

LAURA MILLAN  |  THURSDAY, 30 MAY 2013
... have to become registered tax agents and register with the Tax Practitioners Board (TPB), according to the Australian Securities and Investments Commission (ASIC). Financial advice firms are currently exempted from the taxation agent services regime ...

Former boutique firm analyst pleads guilty to insider trading

ALICE URIBE  |  THURSDAY, 30 MAY 2013
... finance firm Lincoln Crowne & Company (LCC) has pleaded guilty to an insider trading charge following an Australian Securities and Investments Commission (ASIC) investigation. The charge against Jonathan Jin Yi Ang, 25, of St Leonards, NSW, relates to ...

ACR files claim against The Trust Company

LAURA MILLAN  |  WEDNESDAY, 29 MAY 2013
... Company 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 ...

Two Storm victims to receive $1.1m in compensation

MARK SMITH  |  WEDNESDAY, 29 MAY 2013
... made by former Storm investors Barry and Deanna Doyle. The figure was calculated by independent experts and Australian Securities and Investment Commission (ASIC) under the compensation model the regulator developed in connection with the Storm Financial ...

ASIC appeals Macquarie's Storm settlement

MARK SMITH  |  MONDAY, 27 MAY 2013
The Australian Securities and Investments Commission (ASIC) has appealed against the Federal Court's decision to approve a settlement between the former clients of Storm Financial and Macquarie Bank. The settlement follows a class action brought against ...

Retirees could benefit from a vibrant annuities market

JAMES FERNYHOUGH  |  FRIDAY, 24 MAY 2013
... "There is a problem with the ability of financial advisers to communicate risk. Currently funds cannot, under Australian Securities and Investments Commission (ASIC) regulations, communicate to members the pension they will be getting. They have to communicate ...

Former Bell Potter adviser sentenced to 5 years jail

LAURA MILLAN  |  THURSDAY, 23 MAY 2013
... nine months for fraudulent conduct that cost investors more than $1.6 million. The sentence comes after an Australian Securities and Investment Commission (ASIC) investigation found that Glen Russell Evans of Leichhardt, NSW, failed to invest the money ...