Search Results | Showing 71 - 80 of 92 results for "Donnell" |
| | | ... investors. Making an unsolicited offer to purchase shares on one's own behalf does not require an AFS license," said Jennifer O'Donnell, ASIC's executive director of compliance. ASIC has regularly issued warnings about Tweed's activities. Tweed typically ... |
| | | | ... financial services industry, ASIC will remove those who do not deal appropriately with client funds", said Jennifer O'Donnell, ASIC's executive director of compliance. Michelle Baltazar |
| | | | ... that those who provide financial services act honestly at all times," ASIC executive director, compliance, Jennifer O'Donnell, said. "Early reporting to ASIC by financial services licensees of misconduct by their representatives assists ASIC to take ... |
| | | | ... sooner after they occur in a bid to ramp up disclosure to members. ASIC's executive director of compliance, Jennifer O'Donnell, highlighted decisions such as transferring a member's benefits without their consent, saying the change required direct communication ... |
| | | | The $38 billion Victorian Funds Management Corporation (VFMC) is set to become a more powerful financial house after chief executive Syd Bone outlined a series of changes set to come into effect in the next financial year. Based in Melbourne, VFMC is ... |
| | | | ... number of complaints received by ASIC and the Financial Industry Complaints Scheme about life insurance," said Jennifer O'Donnell, ASIC's executive director in compliance. Life insurers sent 33 breach notifications, or a small 4.7 per cent of the total ... |
| | | | ... that transition. Make sure that they've told their fund members and employers that that is happening," said Jennifer O'Donnell, executive director in Compliance at ASIC. O'Donnell is not anticipating any major hiccups in terms of funds 'illegally' taking ... |
| | | | ... and deputy CEO, in a bid to attract related industry and corporate funds to join the existing 30,000 members. Stephen O'Donnell, former marketing manager and practice manager with Hillross Financial Services, will take on the role and work alongside ... |
| | | | ... financial services. She will be part of ASIC's compliance team and will work with executive director of compliance Jennifer O'Donnell. Acting chair for ASIC Jeremy Cooper says, "Carole is a well-known financial industry participant, through her roles ... |
| | | | ... Services Reform Act following a series of regional adviser visits. ASIC Compliance Directorate executive director Jennifer O'Donnell said the regional surveillance provided an excellent opportunity for ASIC to meet with licensees and representatives ... |
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