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Showing 111 - 120 of 293 results for "Pty Ltd."

Ex Genesys CEO joins boutique board

JAMES FERNYHOUGH  |  FRIDAY, 26 JUL 2013
Boutique investment management firm Implemented Portfolios Pty Ltd has appointed Greg Kirk to the company's board as a non-executive director. Kirk has executive experience across the financial services, including a period as chief executive of Genesys ...

Adviser uses dead people to earn commission

JAMES FERNYHOUGH  |  FRIDAY, 5 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned a Sydney financial adviser for using the names of dead and non-existent people to earn commissions on insurance applications. Pavan Vyas, an employee of Lionsgate Financial ...

Company director charged with QLD property fraud

JAMES FERNYHOUGH  |  WEDNESDAY, 19 JUN 2013
... an investigation by the Australian Securities and Investments Commission (ASIC). Hill, of Hill Stephens & Associates Pty Ltd (HSA), allegedly dishonestly induced various investors to pay approximately $618,000 to acquire interests in a "house and land" ...

ASIC sends warning to property spruikers

JAMES FERNYHOUGH  |  THURSDAY, 16 MAY 2013
The Australian Securities and Investment Commission (ASIC) has revoked the credit licence of Money Choice Pty Ltd after an investigation found the company had failed to comply with credit laws. The Melbourne-based company's director, Matthew George ...

ASIC warns planners, be careful who you hire

JAMES FERNYHOUGH  |  TUESDAY, 7 MAY 2013
... against which ASIC has previously taken action. ASIC has also recently taken action against Clearing & Settlement Services Pty Ltd (CSS), and Halifax Investment Services Ltd (Halifax). In both cases ASIC singled out failures in supervision and monitoring ...

Securities dealer scales back after ASIC review

LAURA MILLAN  |  THURSDAY, 4 APR 2013
... the authorisations for all but one of its representatives. The former representatives include Romad Financial Services Pty Ltd (RFS) and International Securities & Derivatives Group (ISDG). ASIC also announced yesterday that it has banned accountant ...

ASIC imposes AFSL conditions on Lionsgate

ALEX DUNNIN  |  THURSDAY, 7 MAR 2013
ASIC has imposed additional conditions on the Australian financial services licence of NSW-based Lionsgate Financial Group Pty Ltd following a surveillance of its advice business. According to the regulator, Lionsgate currently has 103 authorised representatives ...

AFA makes board and exec changes

ALEX DUNNIN  |  MONDAY, 4 MAR 2013
The Association of Financial Advisers has made a number of changes to its board and senior executive following a recent meeting. Brad Fox, recently appointed as AFA chief executive, has resigned from the position of AFA Treasurer to take up the role ...

Insurance broker pleads guilty to theft

MARK SMITH  |  TUESDAY, 5 FEB 2013
Insurance broker Bruce Wickett pleaded guilty to stealing close to $700,000 of clients' money over a seven month period. Wickett of Frankston, Victoria, appeared in the Melbourne Magistrates Court charged with three counts of theft totalling $662,198.39 ...

Adviser permanently banned after eight year fraud

ALEX DUNNIN  |  WEDNESDAY, 5 DEC 2012
... disqualified her from managing corporations for 25 years. The Court also made orders permanently restraining Roach Graham Scott Pty Ltd (RGS), a company of which Scott was sole director, from carrying on a financial services business or providing a financial ...