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Showing 71 - 76 of 76 results for ASIC release

FX trader guilty of $360k fraud

ASIC RELEASE  |  TUESDAY, 12 MAY 2009
... charges of dishonestly gaining a financial advantage for Arafura Equities Pty Ltd (Arafura) worth $330,000. His plea follows ASIC's investigation into the scheme which was operated by Arafura from 2003 and involved the trading of funds on the foreign ...

James Hardie a case study on governance

ASIC RELEASE  |  FRIDAY, 24 APR 2009
... non-executive directors and three former executives of James Hardie is a "landmark decision" in Australian corporate governance, said ASIC. The Australian Securities and Investments Commission (ASIC) said yesterday's decision in its civil penalty proceedings ...

West Pymble adviser charged

ASIC RELEASE  |  WEDNESDAY, 22 APR 2009
... guilty by Justice Barrett of contempt of court for breach of orders of that Court on 4 October 2000 in proceedings brought by ASIC. The orders permanently prevented him from undertaking the business of advising about securities and of dealing in securities ...

Charged for no AFSL

ASIC RELEASE  |  TUESDAY, 14 APR 2009
ASIC has commenced proceedings against four former Queensland directors who dealt in financial products, including Westpoint promissory notes, without an Australian financial services licence (AFSL). Barry William Silver, of Arundel, Robert Peers Button ...

Veljkovic caught for super crimes

ASIC RELEASE  |  THURSDAY, 9 APR 2009
... also sentenced to twelve months jail for dishonestly using his position as a director Aarosonic Credits Limited (Aarosonic). ASIC alleged that Veljkovic transferred a loan of $33,268.63 made to Aarosonic from a client's self-managed superannuation fund ...

Commodities trading accountant jailed

ASIC RELEASE  |  MONDAY, 6 APR 2009
... Bustan Group between 1999 and 2001 received the jail sentence after pleading guilty to three criminal charges brought by ASIC. ASIC alleged she falsely represented Bustan's financial position in monthly reports provided to its bankers, HSBC and Rabo ...
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