Australian Securities & Investments Commission

Type: Organization
Name: Australian Securities & Investments Commission
First reported Apr 17 2014 - Updated Apr 17 2014 - 1 reports

Sonray director jailed for dishonesty

When things started to turn sour for broking house Sonray Capital Markets, company founder Russell Andrew Johnson raided his clients' funds to keep the business afloat.Johnson and his brother-in-law, Sonray chief executive Scott Kenneth Murray, illegally ... [Published Brisbane Times - Apr 17 2014]
First reported Apr 17 2014 - Updated Apr 17 2014 - 1 reports

Corporate watchdog fails to pass a conflict of interest test of its own

How ASIC handles conflicts of interest when it relies on swapping staff with industry is key to perceptions of the regulator. And the story is not a good one.Recently we examined the circumstances in which the Australian Securities and Investments Commission ... [Published Crikey Media - Apr 17 2014]
First reported Apr 17 2014 - Updated Apr 17 2014 - 1 reports

Australian Securities and Investments Commission - 14-082MR Kleenmaid auditor suspended

Australian Securities and Investments Commission - 14-082MR Kleenmaid auditor suspended ... [Published Noodls - Apr 17 2014]
First reported Apr 16 2014 - Updated Apr 16 2014 - 1 reports

ASIC permanently bans 'tombstoning' adviser

The Australian Securities and Investments Commission (ASIC) has permanently banned financial adviser Pavan Vyas engaging in credit activities after he was convicted for dishonest conduct.Vyas was found guilty of 'tombstoning', a practice that involves ... [Published Financial Standard - Apr 16 2014]
First reported Apr 16 2014 - Updated Apr 16 2014 - 1 reports

Tombstoning adviser permanently banned

The Australian Securities and Investments Commission (ASIC) has permanently banned former Sydney adviser Pavan Vyas from engaging in credit activities after he was convicted of dishonest conduct.Vyas submitted 15 false insurance applications between June ... [Published Money Management - Apr 16 2014]
First reported Apr 15 2014 - Updated Apr 16 2014 - 1 reports

S Central's Peter Mavridis faces 35 fraud charges

High-flying technology entrepreneur Peter Mavridis faces up to 10 years in jail after being charged with defrauding National Australia Bank of more than $3 million.Mr Mavridis, 42, appeared in the Melbourne Magistrates Court on Tuesday to face 35 fraud ... [Published Brisbane Times - Apr 15 2014]
First reported Apr 15 2014 - Updated Apr 15 2014 - 1 reports

Will Govt sell ASIC company registry?

Newspaper reports are suggesting that the Federal Government may move to sell off the Australian Securities and Investments Commission’s (ASIC’s) company registry business in an asset sale to be announced in next month’s Federal Budget.Suggestions of ... [Published Money Management - Apr 15 2014]
First reported Apr 14 2014 - Updated Apr 14 2014 - 1 reports

ASIC disputes ASX rigging claims

The corporate watchdog has disputed claims the Australian Securities Exchange is rigged in the favour of fund managers, according to The Australian Financial Review.Yesterday the ­government-backed Capital Markets Co-operative Research Centre cautioned ... [Published Business Spectator - Apr 14 2014]
First reported Apr 14 2014 - Updated Apr 14 2014 - 1 reports

ASIC assets sized up for $1bn sell-off

(Menafn - The Australian - ABIX via COMTEX)ASIC assets sized up for 1bn sell-offApr 14, 2014 (Menafn - The Australian - ABIX via COMTEX) --Australian ... [Published MENAFN - Apr 14 2014]
First reported Apr 14 2014 - Updated Apr 14 2014 - 2 reports

Australian Securities and Investments Commission - 14-076MR ASIC obtains orders cancelling 15 million shares held in Northwest Resources Limited

Australian Securities and Investments Commission - 14-076MR ASIC obtains orders cancelling 15 million shares held in Northwest Resources Limited ... [Published Noodls - Apr 14 2014]
First reported Apr 14 2014 - Updated Apr 14 2014 - 1 reports

Australian Securities and Investments Commission - 14-077MR Former Portfolio manager pleads guilty to misusing his position

Australian Securities and Investments Commission - 14-077MR Former Portfolio manager pleads guilty to misusing his position ... [Published Noodls - Apr 14 2014]
First reported Apr 14 2014 - Updated Apr 14 2014 - 1 reports

Regulator calls for flexibility on disclosure

The Australian Securities and Investments Commission (ASIC) wants to reduce disclosure requirements it claims do not benefit consumers and are costly for industries.Instead, market conduct could be improved if it had a “more flexible regulatory toolkit”, ... [Published InsuranceNews.com.au - Apr 14 2014]

Quotes

"I confirm that the court costs fees have been paid to the ASIC in full" Mr Nugent said
" "This share placing helps to support Sigma's growth ambitions and I am delighted that it has been so well supported by both existing and new shareholders."
Chairman Greg Medcraft said, "The collapse of Sonray, which held millions of dollars in funds for several thousand clients, was in part due to the complete disregard of the law by senior members of the company."
"But I accept that it was not motivated by personal greed."

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'Business as usual' claims bankrupt magnetic en... [Published Melbourne Age - Apr 19 2014]
Curious case of Padbury option trades (The West... [Published West Australian - Apr 19 2014]
Watchdog observes light-speed probe on high fre... [Published WA Today - Apr 18 2014]
City Beat: Quick off blocks [Published Brisbane Courier-Mail - Apr 18 2014]
Sigma Capital : Proposed Placing to raise £8.0 ... [Published 4 Traders - Apr 18 2014]
Former Sonray Capital Markets Director sentence... [Published LeapRate - Apr 17 2014]
Former Director Of Sonray Capital Markets Sente... [Published Forex Magnates - Apr 17 2014]
Former Rich Lister and S Central chief executiv... [Published Smart Company Australia - Apr 17 2014]
Sonray director jailed for dishonesty [Published Brisbane Times - Apr 17 2014]
Corporate watchdog fails to pass a conflict of ... [Published Crikey Media - Apr 17 2014]
Australian Securities and Investments Commissio... [Published Noodls - Apr 17 2014]
Padbury Mining further delays revealing backers... [Published ABC Online - Apr 17 2014]
Going to the listed market [Published PredictWallStreet - Apr 16 2014]
ASIC AUSTRALIAN SECURITIES AND INVESTMENTS COMM... [Published 4 Traders - Apr 16 2014]
ASIC permanently bans 'tombstoning' adviser [Published Financial Standard - Apr 16 2014]
Lycamobile issued warning for over-charging cus... [Published Computerworld Australia - Apr 16 2014]
Lycamobile issued warning for over-billing cust... [Published Tech World Australia - Apr 16 2014]
Tombstoning adviser permanently banned [Published Money Management - Apr 16 2014]
S Central's Peter Mavridis faces 35 fraud charges [Published Brisbane Times - Apr 15 2014]
Colin Barnett tips CITIC to take lead on Oakaje... [Published Brisbane Times - Apr 15 2014]
APRA amends banking rules in favour of mutuals [Published Brisbane Times - Apr 15 2014]
ST GEORGE MINING : Research coverage on st geor... [Published 4 Traders - Apr 15 2014]
Final auction of GSI land [Published Adelaide Now - Apr 15 2014]
APRA softens mutual hybrid rules [Published Australian Banking & Finance - Apr 15 2014]
ASFA backs FSI action on post-retirement [Published Super Review - Apr 15 2014]
Privatisation of ASIC corporate registry on the... [Published Smart Company Australia - Apr 15 2014]
Calculating compliance: how ASIC ‘enforced’ fin... [Published Crikey Media - Apr 15 2014]
Investors should expect SMSF borrowing to come ... [Published Property Observer - Apr 15 2014]
SPAA backs plucking out 'bad apples’ from advic... [Published Money Management - Apr 15 2014]
Wealth Within speaks out over ad fines [Published Money Management - Apr 15 2014]
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Making competition king – the rise of beh... [Published Financial Conduct Authority (FCA) - Mar 25 2014]
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