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Showing 81 - 90 of 101 results for "ASIC of"

ASIC didn't take my claims seriously: whistleblower

LAURA MILLAN  |  THURSDAY, 7 NOV 2013
... had with ASIC in regards to Wilson's and associates activities, all of this I understood was confidential." He accused ASIC of "not even knowing what LIS was licensed to do by ASIC, nor what this actually meant. I was shocked at their lack of knowledge." ...

ASIC takes aim at charitable investment funds

JAMES FERNYHOUGH  |  TUESDAY, 21 MAY 2013
The Australian Securities and Investments Commission (ASIC) has released a consultation paper proposing changes to existing exemptions for charities that raise investment funds. The proposed changes will affect approximately 200 charitable investment ...

ALI penalised after compliance failures

BEN COLLINS  |  WEDNESDAY, 20 JUN 2012
... December 2011 that from the time it was granted a financial services license in April 2003, ALI Group failed to notify ASIC of the appointment of all authorised representatives, It also failed to include the relevant AR's details on ALI Group's Financial ...

ASIC cancels two financial services licences

CLAIRE MCGREAL  |  FRIDAY, 25 NOV 2011
... failed to lodge annual audited financial statements and auditor's reports, didn't comply with the obligation to notify ASIC of significant breaches; and that it didn't have adequate compliance measures in place to ensure compliance with financial services ...

ASIC cancels South Australian financial services licence

CLAIRE MCGREAL  |  THURSDAY, 17 NOV 2011
... over a number of years, which was in breach of both its legal obligations and license conditions. It also didn't advise ASIC of these breaches. Paritech develops computer software packages to provide general financial product advice to retail clients. ...

Chapel Road appeal forces ASIC to show the goods

RACHEL DAVIS  |  THURSDAY, 19 MAY 2011
... investigated firms to how it was treated, claiming the documents will be 'the essence of its case'. Chapel Road has accused ASIC of being "reckless as to the inevitable and dire consequences of a misuse of its powers in relation to the plaintiff," said ...

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 ...