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Showing 1 - 10 of 50 results for "ASA"

Former adviser charged with dishonest conduct

KARREN VERGARA  |  TUESDAY, 19 NOV 2024
A former Shaw and Partners financial adviser has been charged with 26 counts of dishonest conduct in relation to the provision of financial services. Former Brisbane-based financial adviser Kristofer Ridgway appeared at Southport Magistrates Court in ...

Former adviser misled ASIC during investigation: Court

KARREN VERGARA  |  MONDAY, 18 DEC 2023
A former Shaw and Partners financial adviser was charged with two counts of providing false or misleading information to ASIC during the regulator's investigation into his misconduct. Kristofer Ridgway allegedly provided false information during ...

ASX calls time on mFund settlement service

ANDREW MCKEAN  |  TUESDAY, 28 NOV 2023
... effective method for discontinuing the service. As previously reported by Financial Standard, Australian Shareholder Association (ASA) chief executive Rachel Waterhouse advised that a closure of mFund would leave investors unflustered. She interpreted ...

Investor associations to unite

CHLOE WALKER  |  THURSDAY, 2 NOV 2023
Retail investor advocates the Australian Shareholders' Association (ASA) and the Australian Investors' Association (AIA) are planning to consolidate next year. The boards of both groups have agreed to the amalgamation, with the AIA to close its organisation ...

ASIC permanently bans David Sutton

ANDREW MCKEAN  |  TUESDAY, 4 JUL 2023
ASIC has permanently banned David Sutton from providing any financial services and disqualified him from managing corporations for five years. The regulator also cancelled the Australian financial services licence (AFSL) of McFaddens Securities, now ...

Banned adviser told to stay put

CHLOE WALKER  |  FRIDAY, 16 JUN 2023
Having already permanently banned former Shaw and Partners senior adviser Kristofer Ridgway, ASIC has now made sure he cannot leave or attempt to leave Australia. Interim travel restraint orders were made on June 11 following the regulator's application. ...

Senate Committee rethinks franking credit changes

ANDREW MCKEAN  |  TUESDAY, 6 JUN 2023
... the payment of corporate tax in Australia," he said. Meanwhile, the SMSF Association and Australian Shareholder Association (ASA) voiced relief over the Senate Committee's recommendations. SMSF Association chief executive Peter Burgess hailed the Senate ...

Ad hoc changes to super scare self-funded retirees: ASA

CHLOE WALKER  |  MONDAY, 24 APR 2023
The Australian Shareholders' Association (ASA) has noted several issues it has with the government's super tax concessions proposals, including the taxing of unrealised profits on asset movements and lack of transition period. In its submission, the ...

Former Shaw and Partners adviser banned

JAMIE WILLIAMSON  |  THURSDAY, 13 APR 2023
A former Shaw and Partners financial adviser was permanently banned by ASIC after it was determined he was not competent and likely to breach the law again. It followed an investigation that found he, among other things, accepted unlawful commissions ...

Senate inquiry to scrutinise proposed franking credit rules

ANDREW MCKEAN  |  THURSDAY, 9 MAR 2023
... freedom and make it more challenging for businesses to accumulate capital, he said. The Australian Shareholders Association (ASA) backed measures to address intentional tax avoidance or manipulation of the franking system, according to a submission made ...
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