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Showing 151 - 160 of 424 results for "Financial Services business"

Spaceship chair banned for two years

JAMIE WILLIAMSON  |  TUESDAY, 7 JUN 2022
... Ernest Dortkamp has been banned from performing functions as an officer and responsible manager of a financial services business for two years after an investigation found he didn't understand all the services offered by Spaceship Capital and is ...

ASIC bans financial adviser for five years

ANDREW MCKEAN  |  FRIDAY, 20 MAY 2022
... that between March 2017 and August 2021, Guan, through his company Perennial Growth, carried on a financial services business when he traded shares on behalf of clients and used managed discretionary accounts. However, Guan nor his company held an Australian ...

Permanent ban for former authorised representative

CHLOE WALKER  |  FRIDAY, 18 MAR 2022
... permanently banned Roderick Halligan from providing financial services or having any involvement in a financial services business. According to the corporate regulator, between 1 June 2015 to 22 October 2020, Halligan, who was an authorised representative ...

PwC appoints insurance leader

CHLOE WALKER  |  THURSDAY, 17 FEB 2022
... today announced the appointment of Yoshiro Makita as insurance leader for Australia within the firm's Financial Services business. Makita joined the Australian firm, transferring from PwC Japan where he led that its insurance consulting business, specialising ...

Bell Financial Group in AUSTRAC probe

JAMIE WILLIAMSON  |  THURSDAY, 17 FEB 2022
Three of Bell Financial Group's subsidiaries are under scrutiny by AUSTRAC, with an audit ordered to assess compliance with financial crime laws. AUSTRAC has ordered that an external auditor be appointed to Bell Potter Securities, Bell Potter Capital ...

ASIC bans two Sydney based advisers

CHLOE WALKER  |  WEDNESDAY, 15 DEC 2021
... Allen from providing any financial services, performing any function involved in the carrying on of a financial services business, and controlling an entity that carries on a financial services business. ASIC said it found Cummings "failed to give Statements ...

ASIC takes 'ASX Wolf' to court

ELIZABETH MCARTHUR  |  TUESDAY, 14 DEC 2021
... regulator filed proceedings in the Federal Court that will seek to restrain Scholz from carrying on any financial services business in Australia. Under his ASX Wolf handle, Queensland-based Scholz offered training courses and seminars on share trading ...

Courtenay House director faces court for alleged fraud offences

CHLOE WALKER  |  WEDNESDAY, 1 DEC 2021
... scheme. Iervasi is facing nine criminal charges of dishonest conduct and one charge of carrying on a financial services business without a licence. Papoulias is facing one charge of dealing in the proceeds of crime worth $1 million or more, and one charge ...

Caddick's assets will be sold

ELIZABETH MCARTHUR  |  TUESDAY, 23 NOV 2021
... sold to pay back victims. The Federal Court has found Caddick and her company, Maliver, carried out a financial services business without holding an AFSL. The court has therefore ordered that Maliver be wound up and Caddick's assets be collected ...

ASIC issues warning to finfluencer sponsors

KARREN VERGARA  |  WEDNESDAY, 10 NOV 2021
... interests, she said. "If you enter into an arrangement with someone who is carrying on an unlicensed financial services business, you may be breaching the Act. You may also want to understand whether the finfluencer has existing vested interests to promote ...