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Showing 951 - 960 of 2080 results for "Australian Securities"

Former Lonsec MD pleads guilty to insider trading

LAURA MILLAN  |  MONDAY, 4 MAR 2013
... director of stockbroking firm Lonsec Norman John Graham pleaded guilty to two charges of insider trading, the Australian Securities and Investments Comission (ASIC) announced on Friday. The charges relate to an order that Graham placed on Feburary 26 ...

Guardian Advice unveils mentoring and equity partnership program

LAURA MILLAN  |  THURSDAY, 28 FEB 2013
... institutional organisations. However, Guardian has also picked some of the 150 former AAA advisers after the Australian Securities and Investments Comission (ASIC) revoked its licence. Harris said that it is still early to say how many of those advisers ...

AFA outlines stance on conflicted remuneration

LAURA MILLAN  |  WEDNESDAY, 27 FEB 2013
... Advisers (AFA) has prepared a document, due for public release shortly, expressing its concerns over the Australian Securities and Investment Commission (ASIC) consultation paper on conflicted remuneration. The AFA already sent the document to the regulator ...

ASIC speeds up misconduct probe

MARK SMITH  |  WEDNESDAY, 27 FEB 2013
The Australian Securities and Investments Commission (ASIC)'s latest report on the supervision of markets and participants shows that the regulator has significantly reduced the time it takes to start investigations of suspicious market conduct. Of ...

Two liquidators punished by ASIC

BEN COLLINS  |  TUESDAY, 26 FEB 2013
Australia's corporate watchdog has taken action against two liquidators in separate cases. The Australian Securities & Investments Commission (ASIC) yesterday said that it had accepted an enforceable undertaking from Sydney liquidator Ian Struthers ...

SMSF adviser escapes jail time with suspended sentence

BEN COLLINS  |  FRIDAY, 22 FEB 2013
... to concurrent suspended sentences of 18 months jail, after pleading guilty to two charges brought by the Australian Securities & Investments Commission (ASIC) of obtaining financial advantage by deception. Dangar pleaded guilty to obtaining a total financial ...

Market Wrap PM

AAP  |  THURSDAY, 21 FEB 2013
... futures contract was down 25 points at 5,048 points, with 10,535 contracts traded. A computer glitch at the Australian Securities Exchange delayed the reporting of key market indices at the start of trade on Thursday, but the problem was resolved by ...

Co-operation key to avoiding pain from ASIC

MARK SMITH  |  THURSDAY, 21 FEB 2013
Financial services firms who come under fire from the Australian Securities and Investments Commission (ASIC) are better off working with the regulator than prepare for a legal battle, according to a law firm specialising in the area. A seemingly endless ...

Some auditors won't be counted

BEN COLLINS  |  FRIDAY, 15 FEB 2013
... Speaking yesterday at the SMSF Professionals' Association of Australia (SPAA) annual conference in Melbourne, Australian Securities & Investments Commission (ASIC) boss Greg Tanzer said that while discretion would be applied on a case-by-case basis ...

Industry urged to understand changes to transfer rules

BEN COLLINS  |  THURSDAY, 14 FEB 2013
... understand. This would require the trustee to use a broker who would complete trade report and give it to the Australian Securities Exchange (ASX). If the price is then between the best bid and offer price listed, the ASX will accept the trade and the ...