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Showing 141 - 150 of 243 results for "ASIC ban"

ASIC drops proceedings against two former directors

KERRIE SYDEE | THURSDAY, 22 SEP 2016

... against two former directors of LM Investment Management (LMIM) and the Administrative Appeals Tribunal (AAT) has upheld an ASIC ban. ASIC has discontinued its claim against former directors Simon Tickner and Lisa Darcy following the close of the case ...

ASIC bans fraudulent broker

JAMIE WILLIAMSON | TUESDAY, 13 SEP 2016

ASIC has permanently banned a former Sydney finance broker. Jennifer Farias is now banned from engaging in credit activities and providing financial services after an investigation by the regulator and criminal action brought against her found she was ...

ASIC bans former Macquarie advisers

JAMIE WILLIAMSON | THURSDAY, 25 AUG 2016

ASIC has banned two former Macquarie advisers from providing financial services. Anthony Jason Sourris and Sarah Kate Gardner have been banned for two and a half years and one year respectively after ASIC found they were both involved in, and lied to ...

ASIC bans ex-Macquarie Equities trader

ALEX BURKE | WEDNESDAY, 17 AUG 2016

ASIC has banned a former representative of Macquarie Equities for five years. Nicholas Kerr worked for Macquarie Equities from 2008 to 2013; during that time, ASIC alleged he engaged in unauthorised discretionary trading on five client accounts, as ...

ASIC bans jailed former advice director

JAMIE WILLIAMSON | MONDAY, 15 AUG 2016

ASIC has permanently banned the former director of an insurance broking company after being found guilty of seven counts of dishonestly obtaining a financial advantage from the Commonwealth by deception. In April Timothy Charles Pratten was sentenced ...

ASIC ban upheld, investment banker jailed

KERRIE SYDEE | MONDAY, 6 JUN 2016

The Administrative Appeals Tribunal (AAT) has upheld ASIC's decision to ban a financial adviser from providing financial services for five years. Former Meritum Financial Group adviser, Alfie Chong, was initially banned by ASIC for a range of misconduct ...

Court dismisses ex-AMP planner seeking hold on ASIC ban

ALEX BURKE | WEDNESDAY, 25 MAY 2016

The Federal Court has dismissed an application made by a financial planner to restrain ASIC from making a possible banning order. ASIC issued Lionsgate Financial Group planner Rommel Panganiban with a hearing notice in late 2015 relating to concerns ...

ASIC bans ex-NAB planner from the industry

ALEX BURKE | WEDNESDAY, 27 APR 2016

ASIC has permanently banned a former NAB adviser. Hardik Bhimani was a senior financial planning manager, then a senior financial planner, with NAB Financial Planning from April 2011 to November 2014. It was during this period that ASIC has now accused ...

ASIC bans former Guardian Advice planner

ALEX BURKE | WEDNESDAY, 17 FEB 2016

ASIC has permanently banned a former Guardian Advice representative. Andrew Moroney worked under the Guardian Advice licence from 2006 to 2014, during which time ASIC alleged he engaged in deliberate "policy churn" - annually recommending clients replace ...

ASIC bans ex-NAB adviser

ALEX BURKE | THURSDAY, 4 FEB 2016

ASIC has banned a former NAB adviser for seven years. ASIC has alleged that then NAB representative Shane Thompson, engaged in misconduct between December 2012 and February 2013. Specifically, Thompson forged "change of adviser" forms and submitted ...

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Invesco launches new equity fund

ELIZA BAVIN

Invesco said the new fund will give Australian investors access to a systematic global equity strategy with a 20-year track record.

FCA pursues Neil Woodford again

KARREN VERGARA

The Financial Conduct Authority (FCA) is going after failed fund manager Neil Woodford again, this time for allegedly providing unauthorised investment advice via W4.0, his Dubai-based investment platform.

Former APRA deputy chair launches retirement solutions startup

KARREN VERGARA

A former APRA deputy chair has launched CipherIQ, a new venture that provides retirement solutions via account-based pensions in partnership with superannuation funds, financial advisers and retirees.

Global X launches space tech ETF

MATTHEW WAI

Global X has now launched the space tech ETF (ASX: MOON).

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