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Showing 141 - 150 of 425 results for "Financial Services business"

ASIC bans Sterling & Freeman director

ANDREW MCKEAN  |  WEDNESDAY, 7 SEP 2022
... 2019, 2020 and 2021 financial years. ASIC also found Saman was not fit and proper to be involved in a financial services business. The banning order prohibits Saman from performing any function involved in the carrying on of a financial services business ...

Findex names co- chief executives amid plans to grow wealth capabilities

CASSANDRA BALDINI  |  WEDNESDAY, 24 AUG 2022
... accounting services to deliver greater value for clients. Now, as Australia's largest diversified financial services business, we're continuing to tread our own path, building a model built around the needs of our clients." Games added: "When ...

WA financial services director banned for six years

CHLOE WALKER  |  MONDAY, 15 AUG 2022
... charging fees to investors. Hutchinson is now prohibited from controlling an entity that carries on a financial services business, and performing any function involved in the carrying on of a financial services business (including as an officer, manager ...

Convicted former financial adviser banned for life

CHLOE WALKER  |  TUESDAY, 9 AUG 2022
... attempting to mislead the regulator. Nesseim is barred from performing any function involved in operating a financial services business and from controlling, whether alone or with others, an entity that operates a financial services business. The automatic ...

Fraud charges laid over unlicensed scheme

CASSANDRA BALDINI  |  WEDNESDAY, 20 JUL 2022
... unregistered managed investment scheme and also ordered that he be permanently restrained from carrying on a financial services business without an AFSL or operating an unregistered managed investment scheme. The maximum penalty for each offence of fraud ...

Akambo grows leadership team

CASSANDRA BALDINI  |  THURSDAY, 14 JUL 2022
... chair and Kevin White as non-executive director to the board of its holding company. The integrated financial services business recently merged with the well-established wealth management firm First Financial. The merger aimed to establish a powerful ...

OTC derivatives provider loses licence, executives banned

CASSANDRA BALDINI  |  THURSDAY, 14 JUL 2022
... deceive. Meanwhile, Schneider and Pecyna were banned from controlling an entity that carries on a financial services business or performing any executive or management role in relation to a financial services business for eight years. ASIC found both ...

Victorian AR charged with providing unlicensed advice

CASSANDRA BALDINI  |  WEDNESDAY, 13 JUL 2022
... an individual person found guilty of engaging in dishonest conduct in the course of carrying on a financial services business is between 10 to 15 years' imprisonment, a fine of $945,000, or both. The maximum penalty for an individual person found guilty ...

CountPlus takes stake in WSC Group

ANDREW MCKEAN  |  TUESDAY, 5 JUL 2022
... Group, CountPlus and Count Financial. Humphrey said: "We are delighted to be investing in a quality financial services business like WSC Group, which has a strong reputation for being client-focused with expertise in accounting and financial advice services. ...

ASIC obtains orders to freeze assets

ANDREW MCKEAN  |  TUESDAY, 28 JUN 2022
... parte, basis because it is concerned Arandez and/or these four companies have allegedly carried on a financial services business, since June 2019, without holding an Australian financial services licence. It's also been alleged that Arandez and/or ...