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Showing 91 - 100 of 439 results for "Financial Services business"

Former Queensland adviser struck off permanently

ANDREW MCKEAN  |  WEDNESDAY, 29 MAY 2024
... following his conviction for fraud offences last month. This prohibition extends to any role within a financial services business, including positions as an officer, manager, employee, or contractor. However, he has the right to appeal to the Administrative ...

BitConnect promoter pleads guilty

KARREN VERGARA  |  MONDAY, 20 MAY 2024
... Corporations Act, which is the provision of financial services on behalf of a person who carries on a financial services business. He promoted The Lending Platform as an investment opportunity and to participate, investors had to acquire BitConnect coin ...

Former NSW adviser loses ban appeal

ELIZA BAVIN  |  WEDNESDAY, 15 MAY 2024
... Sweeney from providing any financial services, performing any function involved in the carrying on of a financial services business, and controlling an entity that carries on a financial services business. ASIC permanently banned the former NSW based ...

Former super fund adviser receives permanent ban

JAMIE WILLIAMSON  |  TUESDAY, 14 MAY 2024
... Philip Dzawo of Melbourne is permanently banned from performing any function related to running a financial services business and from controlling an entity that carries on a financial services business. ASIC found Dzawo had "dishonestly attempted to ...

ASIC issues warning over scammers using fake AFSLs

ELIZA BAVIN  |  FRIDAY, 3 MAY 2024
ASIC has issued a fresh warning over the increase in the sophistication of fake bond and term deposit scams. ASIC said scammers are impersonating little-known legitimate financial services businesses, often those without a website or digital footprint. ...

Adviser fakes exam certificate, cops ASIC ban

KARREN VERGARA  |  FRIDAY, 26 APR 2024
... legislation. The permanent ban also includes preventing Baaini controlling any entity that carries a financial services business, performing a function involved in the carrying on of a financial business or engaging in credit activities. Baaini has the ...

Finalists named in annual MAX Awards

JAMIE WILLIAMSON  |  MONDAY, 22 APR 2024
The finalists for Financial Standard 's annual MAX Awards have been decided, including for the inaugural Rising Star of the Year award. The MAX (Marketing, Advertisting and Sales Excellence) Awards recognise individuals and teams excelling in the fields ...

Macquarie Bank to pay $10m for unauthorised fee transactions

ELIZA BAVIN  |  MONDAY, 22 APR 2024
... been permanently banned from providing financial services or from controlling an entity carrying on a financial services business. Macquarie enabled its customers to give third parties, such as financial advisers, stockbrokers and accountants, different ...

James Mawhinney arrested as Mayfair 101 saga rolls on

JAMIE WILLIAMSON  |  WEDNESDAY, 10 APR 2024
... arrested yesterday and charged with four counts of engaging in dishonest conduct while carrying on a financial services business. It's alleged that on four occasions between 9 August 2019 and 21 April 2020 made representations to the trustee of the ...

ASIC bans director who promised 150% returns

ELIZA BAVIN  |  THURSDAY, 21 MAR 2024
... Commission (ASIC) has banned Brian Jacques Creigh from providing financial advice or being involved in a financial services business. Creigh is the director of Panacea Capital. He operated the Panacea Capital Cryptocurrency Investment Fund (Crypto Fund) ...