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Showing 881 - 890 of 1464 results for "Investments Commission"

Clear lines between ratings and research

RUTH LIEW  |  WEDNESDAY, 28 MAY 2008
... the government ordered a review of ratings agencies and research houses by the Australian Securities and Investments Commission (ASIC). However Richard Cruickshank, managing director of PIR, has called for clear lines between the two groups to be drawn ...

Financial Ombudsman Service launched

RUTH LIEW  |  WEDNESDAY, 21 MAY 2008
The Australian Securities and Investments Commission (ASIC) has given the thumbs up to the establishment of a new Financial Ombudsman Service (FOS). The FOS will represent the merger of the three biggest complaints schemes operating in the financial ...

Wayne the nation builder

ALEX DUNNIN  |  WEDNESDAY, 14 MAY 2008
... Foundation. The functions of the Foundation are more appropriately carried out by the Australian Securities and Investments Commission which has responsibilities for consumer education in financial services," noted the Budget statements. Advertising ...

$500k fraudster gets jail time

RUTH LIEW  |  MONDAY, 12 MAY 2008
... Friday sentenced to four years jail with a two-year non-parole period following an Australian Securities and Investments Commission (ASIC) investigation. On 7 April 2008, Sellers, 32, pleaded guilty to 16 charges of dishonestly using his position as ...

ASIC divides to conquer

The Australian Securities and Investments Commission (ASIC) will split its single enforcement directorate division into six and four of its 'silo' directorates into 17 stakeholder teams, in a bid to stay relevant with the fast evolving financial markets. ...

Money for Living practice is not RM

MICHAEL HOBBS  |  THURSDAY, 1 MAY 2008
... business was not involved in promoting and selling reverse mortgages. On Monday, the Australian Securities and Investments Commission (ASIC) sentenced Money for Living director Gary O'Neill to a year in jail, fully suspended, for acting dishonestly to ...

Adviser gets community service

RUTH LIEW  |  MONDAY, 14 APR 2008
... sentenced by the Sydney District Court to 250 hours community service following an Australian Securities and Investments Commission (ASIC) investigation into Progressive Investment Securities (Progressive) and Capital Investments Group (Aust) Pty Ltd ...

Broker caught after $30m insurance scam

MICHAEL HOBBS  |  MONDAY, 14 APR 2008
... broker Scot Weston has pleaded guilty to four charges of dishonest conduct. The Australian Securities and Investments Commission (ASIC) alleges Weston, employed as an insurance broker by Hirtes Insurance Brokers at the time, acted dishonestly between ...

Adviser charged on $48k theft

RUTH LIEW  |  WEDNESDAY, 2 APR 2008
... client. The sentence was the result of a joint investigation conducted by the Australian Securities and Investments Commission (ASIC) and the Western Australia Police Major Fraud Squad. De Boer pleaded guilty to the allegation that she stole $48,000 ...

Credit Suisse buys AXE stake

MICHAEL HOBBS  |  TUESDAY, 1 APR 2008
... operators recognise the combined strength of AXE ownership." In July last year, the Australian Securities and Investments Commission (ASIC) announced a consultation process to decide whether or not it would grant licenses to AXE and LiquidNet.