Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 161 - 170 of 439 results for "Financial Services business"

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 ...

ASIC freezes assets of unlicensed property mogul

CASSANDRA BALDINI  |  WEDNESDAY, 8 JUN 2022
... typically forecast to be between 18 and 24 months. ASIC further alleges Hopkins has been running a financial services business without a licence by providing personal advice to investors, which included advising investors to roll over their superannuation ...

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 ...