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|Showing 1 - 10 of 77 results for ASIC release|
|... life from providing financial advice following an investigation by the Australian Securities and Investments Commission (ASIC). ASIC alleges Veitch failed to comply with financial services law between 23 October 2008 and 5 February 2010 by engaging in ...|
|... director, Neil Walter King, consent to interim injunctions brought by Australian Securities and Investments Commissions (ASIC). Camelot is a dealing company specialising in the trading of international index options, allowing investors to trade options ...|
|... including fraudulently obtaining client funds, after an investigation by the Australian Securities and Investments Commission (ASIC). Alan Leslie Brown, of Lugarno, New South Wales, has appeared on a total of 15 charges including one count of obtaining ...|
|... third charge of making false statements in relation to financial products, in Sydney's Downing Centre Local Court yesterday. ASIC alleged, among other things, that Richard was involved in causing the Astarra Strategic Fund and the Astarra Superannuation ...|
|Financial services watchdog ASIC is to take legal action against Storm Financial founders, Emmanuel and Julie Cassimatis, and against three banks, on behalf of investors affected by the company's collapse. ASIC will take legal action against the two ...|
|ASIC has moved to shut down an unlicensed foreign exchange trading website, which is estimated to have raised at least US$76,000 from investors. ASIC obtained orders in the Supreme Court of New South Wales against AC Trading Co, a company formerly based ...|
|... group of Queensland-based investors learnt the hard way why they should avoid unlicensed financial advice providers after ASIC catches another $7 million scam. She was sentenced to six months imprisonment but entered into a recognisance in the sum of ...|
|Commonwealth Financial Planning will implement a major client compensation program after an ASIC investigation. According to ASIC, a former CFP representative employed until July last year potentially breached various sections of the Corporations Act ...|
|ASIC has banned David Radovan, of Donnybrook, Western Australia, from providing financial services for five years after an ASIC investigation revealed concerns with the appropriateness of his advice to retail clients. The regulator found that Radovan ...|
|The Administrative Appeals Tribunal has upheld ASIC's decision to ban Joshua David Fuoco from providing financial services for five years, after he engaged in deceptive conduct, including providing defective documents to clients. ASIC banned Fuoco from ...|
Australian super funds growing their in-house asset management teams is having a positive impact on gender equality in investment management, with more women wanting to work with profit-to-member funds than other funds management firms.
AvSuper today advised it has invited a select number of super funds to discuss a potential merger, having determined it would be in the best interests of members to do so.
Fresh proposals from the Australian Law Reform Commission aim to simplify several complex areas of financial advice legislation.
The last sitting day for parliament this year has come and gone without progressing legislation designed to make sure those earning less than $450 a month are paid super.
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