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Showing 1 - 7 of 7 results for "Australian Investments and Securities Commission"

Former AMP advice lead sues The Australian

ELIZA BAVIN  |  MONDAY, 24 JUN 2024
... Australian claiming an article published by the news outlet inferred he misled the Australian Investments and Securities Commission (ASIC). Regan claimed the article, which was published back in January this year, falsely implied he had misled the corporate ...

La Trobe names head of investor operations

JAMES FERNYHOUGH  |  FRIDAY, 31 OCT 2014
... the retail Mortgage Fund operations. Prior to that she spent 13 years at the Australian Investments and Securities Commission (ASIC). La Trobe also promoted Caterina Nesci to the role of executive head of communications. La Trobe Financial president ...

ASIC bans Macquarie rumourmonger

MEDIA RELEASE  |  TUESDAY, 24 MAR 2009
The Australian Investments and Securities Commission (ASIC) has banned Richard Macphillamy from providing financial services for 18 months after he spread false rumours about Macquarie Group and one of firm's products. The regulator banned Macphillamy ...

ASIC releases super switching study results but FPA not satisfied

The Australian Investments and Securities Commission (ASIC) has released the findings of its assessment of financial advice to consumers wishing to change superannuation funds in the lead up to the introduction of choice of fund legislation. The study ...

ASIC offers super switching guides

The Australian Investments and Securities Commission (ASIC) has released a guide aimed at ensuring financial advisers do not breach the Corporations Act 2001 when giving advice about switching superannuation funds in the new Choice environment. The ...

Former Bridges manager sentenced to jail

... in court that he used the money for gambling. Mr David Knott, Chairman of the Australian Investments and Securities Commission (ASIC) said the regulator had also permanently banned Mr Lister from acting as a representative of a dealer or investment adviser. ...

Trescowthick charged, Clifford Corporation directors committed for trial

... relating to the collapse of the retailer in April 2001. The charges, brought by the Australian Investments and Securities Commission (ASIC), include 17 for failing to act honestly in the exercise of his powers and the discharge of his duties as an officer ...
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