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Showing 121 - 130 of 439 results for "Financial Services business"

ASIC bans former risk adviser

CASSANDRA BALDINI  |  THURSDAY, 5 OCT 2023
... account. Durant is prohibited from providing financial services, controlling an entity that carries on a financial services business, or performing any function involved in the carrying on of a financial services business as an officer for three years. ...

Betashares carves slice of superannuation pie

CHLOE WALKER, JAMIE WILLIAMSON  |  WEDNESDAY, 27 SEP 2023
... decade, we have a vision for the firm to continue developing into a leading, independent Australian financial services business." Rainmaker Information executive director, research Alex Dunnin said the move by Betashares is great news for consumers. ...

Ironbark, Invest Blue to create $64bn powerhouse

CASSANDRA BALDINI  |  THURSDAY, 14 SEP 2023
Ironbark Asset Management and Invest Blue have announced plans to merge, forming one of Australia's largest diversified financial services businesses. The merger is expected to be completed by the end of September, once finalised the newly formed ...

Former van Eyk chief cops permanent ban

KARREN VERGARA  |  FRIDAY, 8 SEP 2023
... community service. ASIC said Thomas is permanently banned from performing any function involved within a financial services business or credit provider, or control, whether alone or with others, an entity that operates a financial services business or ...

Zenith chief exits, names successor

KARREN VERGARA  |  MONDAY, 21 AUG 2023
... in Perth; he then spent over 16 years with Macquarie, including three years leading its banking and financial services business in the UK, before then moving to NAB Capital Markets, NAB Asset Management. More recently, he was executive director of ARCO ...

ASIC sues debt management firm, director

CHLOE WALKER  |  THURSDAY, 10 AUG 2023
... misleading representations to customers about the benefits and qualities of its service and carried on a financial services business without the appropriate licence. She also engaged in a system of conduct or pattern of behaviour which was, in all the ...

Former director pleads guilty to super misuse

CASSANDRA BALDINI  |  FRIDAY, 4 AUG 2023
... October 2020, ASIC obtained orders to wind up both companies citing that Naseeruddin had operated a financial services business without the appropriate licence. The highest maximum penalty for such offences is up to 15 years imprisonment. This matter ...

ASIC permanently bans former financial adviser

CASSANDRA BALDINI  |  TUESDAY, 27 JUN 2023
... financial services. It also stops the former Perth adviser from controlling an entity that carries on a financial services business or another person who engages in credit activities and from performing any function involved in the carrying on of a financial ...

Former Capstone adviser in EU with ASIC

JAMIE WILLIAMSON  |  THURSDAY, 22 JUN 2023
... Register shows he has now ceased, with the terms of the undertaking being that he cannot carry on a financial services business, provide any financial services, or act in any managerial capacity within a financial service, legal or accounting business. ...

Director banned for eight years

CHLOE WALKER  |  TUESDAY, 13 JUN 2023
... misleading and deceptive conduct in relation to financial products. He is also banned from running a financial services business for the same period. In November 2020, Fox set up RAIC Capital, now known as Foxi Capital, where he offered consumers investment ...