Raid On Advisers

AN investigation by the Australian Securities Commission (ASC) into securities dealers and investment advisers prompted by public complaints has found 65 per cent of a targeted sample needed retraining or their licence conditions amended. The ASC investigated 173 dealers after complaints and foun

Asc Bans 11 From Industry

The Australian Securities Commission banned 11 securities dealers and investment advisers from the industry last financial year as part of its licensee surveillance program. Remedial action was taken against another 77 authorised industry representatives in the program that the ASC claimed had su

How Asc Cracked The Whip

The Australian Securities Commission banned 11 securities dealers and investment advisers from the industry last financial year as part of its licence surveillance program. Remedial action was taken against a further 77 authorised industry representatives in the program that the ASC claimed had