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

Search Results

Showing 81 - 90 of 156 results for "Investment Commission"

Advisers at risk over asset-based fees

BEN COLLINS  |  THURSDAY, 10 JAN 2013
... cigarettes, "Make it difficult to smoke anywhere." Similarly, regulation outlined in the Australian Securities & Investment Commission's regulatory guide 175, does not stamp-out asset-based fees, but it does mean many advisers are at risk of falling ...

Asset consultants influence to grow amid industry change

MARK SMITH  |  FRIDAY, 16 NOV 2012
... Concerns about the level of power wielded by consultancy firms prompted the first Australian Securities and Investment Commission (ASIC) review of the sector back in August. The industry highlighted a potential conflict of interest arising from Russell ...

Market wrap Early AM

AAP  |  FRIDAY, 2 NOV 2012
... company news, Qantas holds its annual general meeting in Canberra. Chairman of the Australian Securities and Investment Commission (ASIC), Greg Medcraft, is scheduled to deliver to a speech at an American Chamber of Commerce in Australia lunch in Sydney. ...

ASX flags concerns over losing single operator status

LINDA HAUSKEN  |  TUESDAY, 14 AUG 2012
... Financial Regulators which comprise of the Treasury, the Reserve Bank of Australia, Australian Securities & Investment Commission and Australian Prudential Regulation Authority are currently reviewing the submission on this issue.

Streamlined SMSF software creates adviser revenue stream

BEN COLLINS  |  WEDNESDAY, 4 JUL 2012
Advisers can create an additional revenue source if they streamline their relationship with accountants and create the option to charge an administration fee to their increasing base of self-managed super funds (SMSF). With investment commissions removed ...

Commonwealth FP adviser banned

LINDA HAUSKEN  |  TUESDAY, 5 JUN 2012
... employee, Joe Chan, after he was found to have failed to meet adviser obligations. Australian Securities Investment Commission (ASIC) was concerned that between 20 December 2006 and 1 October 2010, Chan had falsely classified client files, encouraged ...

ASIC permanently bans CFD dealer

BEN COLLINS  |  MONDAY, 23 APR 2012
... former contracts for difference (CFD) dealer following an investigation. ASIC's (Australian Securities & Investment Commission) investigation focused on the conduct of Simon Marcus Gundry, of Mornington, and his online investment business SSG Trading ...

ASIC releases hedge funds guidance

ELISE BURGESS  |  THURSDAY, 23 FEB 2012
... understanding the risks when purchasing a hedge fund product," Greg Medcraft, Australian Securities and Investment Commission (ASIC) chairman said. "Improved disclosure of the risks associated with hedge funds is particularly important because hedge ...

HFT and dark pools keep ASIC on its toes

MELANIE TIMBRELL  |  TUESDAY, 7 FEB 2012
... High frequency trading and dark pools are the biggest issues of contention in the Australian Securities and Investment Commission's extended consultation process on market integrity rules, according to one industry expert. Australian Securities and Investment ...

ASIC continues Trio crackdown

CLAIRE MCGREAL  |  THURSDAY, 2 FEB 2012
... working in the Australian financial services industry or managing a corporation. The Australian Securities Investment Commission (ASIC) accepted an enforceable undertaking from Maher yesterday, after the Commission found he engaged in misleading conduct ...