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Showing 81 - 90 of 153 results for "Investment Commission"

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 ...

ASIC appoints two new commissioners

CLAIRE MCGREAL  |  FRIDAY, 21 OCT 2011
... commissioners, with another departing when his term is up in December. Peter Kell joins the Australian Securities and Investment Commission (ASIC) on a five-year term from November, while Greg Tanzer has been appointed for four years from January. Michael ...

Second tranche of FOFA well received: industry

ELISE BURGESS  |  THURSDAY, 29 SEP 2011
The second tranche of FOFA reforms has earned a warm, albeit subdued, welcome from the industry with little or no reaction from large dealer groups but solid support from industry associations. In response to the Future of Financial Advice (FOFA) reforms ...

Fraud firm masquerades as financial advisors: ASIC alert

ALISON BEVEGE  |  THURSDAY, 18 AUG 2011
The Australian Securities and Investment Commission (ASIC) has issued a warning on a fraudulent financial advisory firm. ASIC has shut down Frontline Financial Planning's website which posted the Australian company number and Australian financial services ...