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Showing 111 - 120 of 439 results for "Financial Services business"

Stake names new chief executive

KARREN VERGARA  |  FRIDAY, 12 JAN 2024
A former BlackRock executive will take the helm at Stake as the trading platform's co-founder Matt Leibowitz steps down from the post. Jon Howie, who joined Stake in August as chief commercial officer, has been promoted to the top job. Before Stake ...

ASIC permanently bans adviser who stole client funds

JAMIE WILLIAMSON  |  MONDAY, 8 JAN 2024
... Pagliaccio is banned from providing any financial services, controlling any entities that carry on a financial services business, and performing any function within a financial services business. ASIC said he is not a fit and proper person to provide ...

Australian Retirement Trust selects chief executive

JAMIE WILLIAMSON  |  THURSDAY, 14 DEC 2023
... of his tenure with Mercer, Anderson held a raft of roles in Australia before becoming leader of the financial services business for Asia Pacific and eventually chief executive of Australia and New Zealand, a role he held for five years. Between 2014 ...

Former AMP adviser banned by ASIC

ANDREW MCKEAN  |  THURSDAY, 14 DEC 2023
... Financial and Investment Services, is restricted from offering any financial services, managing a financial services business, or engaging in credit activities because the corporate regulator deemed him to lack adequate training or competence. ASIC highlighted ...

FSCP serves up registration prohibition order

KARREN VERGARA  |  MONDAY, 11 DEC 2023
... for two years, it also prevented her from undertaking several functions pertaining to carrying on a financial services business that included managing, supervising or auditing the provision of financial services, Miller said. The FSCP works alongside ...

Former adviser convicted over false documents

CHLOE WALKER  |  THURSDAY, 30 NOV 2023
... an individual for engaging in dishonest conduct while providing financial advice and carrying on a financial services business was 10 years imprisonment, a fine of either $765,000 or three times the total value of the benefits reasonably attributable ...

ASIC investigates iExtend over possible unlicensed conduct

CHLOE WALKER  |  THURSDAY, 23 NOV 2023
ASIC has accepted a court enforceable undertaking from iExtend Holdings Company (iExtend) after investigating concerns that it was operating without an AFSL. The undertaking also relates to iExi Pty Ltd, which trades as iExtend. Documents show the investigation ...

Bell FG announces leadership shakeup

CHLOE WALKER  |  FRIDAY, 27 OCT 2023
... "instrumental in transforming the group from a small commodities business to the prominent diversified financial services business that it is today." "These changes represent an exciting new chapter for Bell Financial Group, and the board is confident ...

ASIC bans former PwC partner over tax scandal

CASSANDRA BALDINI  |  MONDAY, 23 OCT 2023
... Collins has been banned from providing financial services or controlling an entity that carries on a financial services business for eight years. At the start of the year, Collins was barred by the Tax Practitioners Board (TPB) over integrity breaches ...

AAT overturns ASIC ban on investment guru

CASSANDRA BALDINI  |  FRIDAY, 20 OCT 2023
... used. McCabe said the benchmark for such an argument is connected to a person playing a role in a financial services business. "As it happens, none of the matters referred to in s 913BB(2)(a)-(j) are relevant here," he commented. In conclusion, McCabe ...