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Showing 71 - 80 of 85 results for "ASIC of"

SuperAlphaFund closes shop in Australia

RUTH LIEW  |  WEDNESDAY, 3 MAR 2010
... "Unfortunately, it seems to us that this pressure has resulted in a lack of consistent interpretation and application by ASIC of rules and regulations. "We have attempted to work through these issues. However, the delay of nearly a year at great expense ...

When ASIC knocks, answer immediately

RUTH LIEW  |  THURSDAY, 2 JUL 2009
You've been served. Recent reports about corporate watchdog ASIC paying a personal visit to two accountants (mistakenly reported in the media as financial planners) to hand them notices illustrate the far-reaching powers of the regulator, says an industry ...

$500k fraudster gets jail time

RUTH LIEW  |  MONDAY, 12 MAY 2008
... According to ASIC, approximately 12 clients of Taylor Collison were affected by Seller's actions. Taylor Collison notified ASIC of the breach and has repurchased the shares sold by Sellers at a cost of more than $492,000. The District Court also made ...

ASIC closes Risqy Forex scheme

RUTH LIEW  |  MONDAY, 3 MAR 2008
The Australian Securities and Investments Commission (ASIC) has obtained orders in the Supreme Court of Queensland in Brisbane to close an illegal managed investment scheme involving $14.5 million being operated by unregistered New Zealand-based Risqy ...

Adviser jailed for five and a half years

HAMISH MADDEN  |  FRIDAY, 9 FEB 2007
An unlicensed Queensland adviser has been jailed for five and a half years for fraud involving hundreds of thousands of dollars of client money. Shane Hoy was sentenced to five and a half years jail by the Brisbane District Court after an Australian ...

ASIC bans broker and adviser for life

HAMISH MADDEN  |  MONDAY, 14 AUG 2006
... convicted of misappropriating $160,000 of client funds in 2003. Both Carrington Insurance Brokers and ANZ Bank notified ASIC of the issue and full cooperated with the investigations "Members of the public have a right to expect that those who provide ...

ASIC charges four over margin lending scam

HAMISH MADDEN  |  WEDNESDAY, 7 JUN 2006
... ordered to surrender their passports and not be in the proximity of international points of departure. They must also notify ASIC of any plans to travel interstate.

Life insurers and 25 AFSL holders under ASIC microscope

... slackened off regarding their licence obligations, ASIC took it as a sign that the industry is taking its duty to notify ASIC of breaches seriously. It also attributed the higher number to the October 2004 publication of ASIC's informative guide to reporting ...

Unit pricing the right way

... unit pricing right is a fundamental role of organisations managing other people's money. "The joint review by APRA and ASIC of unit pricing has underscored the importance of having processes with integrity in place." Gilbert also said that companies ...

ING Australia to correct unit pricing errors

... conduct a review. Following the review, ING has voluntarily provided an Enforceable Undertaking to industry regulator ASIC of $14 million compensation to affected investors and around $10.5 million to be paid into the investment options of affected products. ...

Editor's Choice

Early release of super scammers cop prison time

KARREN VERGARA
Three people will go to prison after pleading guilty to defrauding the COVID-19 early release of superannuation scheme for $103,500.

Super funds slash external mandates by 54%

KARREN VERGARA
The number of investment managers winning institutional mandates has tanked 54% in less than two years as superannuation funds ramp up the in-house management of assets, Rainmaker Information research reveals.

ASIC tells super funds to 'step it up'

ELIZA BAVIN
ASIC commissioner Simone Constant delivered a stern warning to super fund trustees.

Brookfield bids for majority stake in Neoen

ANDREW MCKEAN
Brookfield and its institutional partners have lobbed a bid to acquire a 53% majority stake in French renewable energy company Neoen.

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CENTURIA CAPITAL LIMITED
A single decision can change your life, and that's exactly what Centuria Capital joint chief executive Jason Huljich learned when he came to Australia in the 1990s. Eliza Bavin writes.
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