Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 931 - 940 of 2080 results for "Australian Securities"

ASIC delays start date for advisers exam

LAURA MILLAN  |  THURSDAY, 11 APR 2013
The Australian Securities and Investments Commission (ASIC) has delayed the implementation of a national examination for financial advisers. ASIC said that the objective is to allow appropriate time for other reforms to be implemented in the financial ...

ASIC targets SMSF confidence tricksters

MARK SMITH  |  THURSDAY, 11 APR 2013
The Australian Securities and Investment Commission (ASIC) will target 'unscrupulous' advisers trying to make quick money out of the fast-growing self-managed superannuation fund (SMSF) industry. Addressing a packed room at the Hilton Hotel in Sydney ...

ASIC suspends licence of LM Investment

LAURA MILLAN  |  WEDNESDAY, 10 APR 2013
The Australian Securities and Investments Commission (ASIC) has suspended the Australian financial services licence (AFSL) of LM Investment Management Limited for two years following the company's voluntary administration. The AFSL suspension allows ...

ASIC accepts enforceable undertaking from City Index

LAURA MILLAN  |  WEDNESDAY, 10 APR 2013
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking from City Index Australia (CIA), which will appoint an independent expert to review the business and develop a plan to rectify the deficiencies. The ...

Halifax to fix deficiencies after ASIC review

ALICE URIBE  |  FRIDAY, 5 APR 2013
... Halifax Investment Services (Halifax) will appoint an independent consultant to review its business after the Australian Securities and Investments Commission (ASIC) found deficiencies in the business. ASIC accepted an enforceable undertaking (EU) and ...

Securities dealer scales back after ASIC review

LAURA MILLAN  |  THURSDAY, 4 APR 2013
Securities dealer Clearing & Settlement Services (CSS) has downsized its operations after the Australian Securities and Investments Commissions (ASIC) found it had failed to comply with conditions of its Australian Financial Services licence (AFSL). ...

ASIC chair appointed to IOSCO

LAURA MILLAN  |  TUESDAY, 2 APR 2013
Greg Medcraft, the chair of the Australian Securities and Investments Commission, was appointed chair of the global peak body that represents 32 securities regulatory authorities. Medcraft took over as chair of the International Organization of Securities ...

MDA guidance review will bring coherence and consistency

LAURA MILLAN  |  THURSDAY, 28 MAR 2013
Advisers and fund managers welcome the Australian Securities and Investments Commission (ASIC) review of Managed Discretionary Accounts (MDA) guidance as it will bring coherence and consistency to an under-regulated sector. "The review is a good thing ...

ASIC bans another insurance broker

MARK SMITH  |  FRIDAY, 22 MAR 2013
... another clear message today that unscrupulous practitioners will face the full force of the regulator with the Australian Securities and Investments Commission (ASIC) permanently banning a Sydney insurance broker. Ronald Coshott, director of Bay Pacific ...

ASIC steps up investigation into SMSF fraud

MARK SMITH  |  WEDNESDAY, 20 MAR 2013
The Australian Securities and Investment Commission has successfully obtained court orders to liquidate two Queensland-based self-managed super fund (SMSFs) advice business accused of misleading investors. Yesterday the Federal Court appointed Michael ...