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Showing 181 - 190 of 243 results for "ASIC ban"

ASIC bans broker for deceptive conduct

JAMES FERNYHOUGH  |  TUESDAY, 6 AUG 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned a Perth-based insurance broker after it found he had engaged in misleading and deceptive conduct. ASIC found that John Andrew Barr, of Darlington, Western Australia ...

Perth mortgage broker permanently banned

LAURA MILLAN  |  THURSDAY, 18 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned a Perth-based mortgage broker. An ASIC investigation found that he had falsified a letter stating finance approval had been provided for a client and then forwarded it ...

ASIC bans Gateway Financial adviser permanently

LAURA MILLAN  |  MONDAY, 8 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned a former Gateway Financial adviser, which is an authorised representative of Titanium Planners. Joshua John Doyle from Bradbury, New South Wales, has been permanently ...

ASIC to face parliamentary inquiry over CBA

LAURA MILLAN  |  THURSDAY, 20 JUN 2013
Parliament will launch an inquiry into the Australian Securities and Investments Commission (ASIC), after it was revealed that the regulator took 16 months to act on information that suggested serious misconduct in Commonwealth Bank financial planning. ...

ASIC bans former CEO for 'misleading activities'

JAMES FERNYHOUGH  |  FRIDAY, 7 JUN 2013
Murray John Priestley, former chief executive of Lifestyle Group, has been banned from providing financial services for three years. The Australian Securities and Investments Commission (ASIC) found that Priestley had misled a client, when he guaranteed ...

ASIC charges former financial adviser

LAURA MILLAN  |  FRIDAY, 12 APR 2013
The Australian Securities and Investments Commission (ASIC) has charged a former financial adviser for failing to provide appropriate advice to clients. Kevin Maxwell George Whitting, of Rosebud, Victoria, provided inappropriate advice to five investors ...

ASIC bans another insurance broker

MARK SMITH  |  FRIDAY, 22 MAR 2013
Financial planners and industry professionals were sent another clear message today that unscrupulous practitioners will face the full force of the regulator with the Australian Securities and Investments Commission (ASIC) permanently banning a Sydney ...

Audit report "disappointing"

BEN COLLINS  |  WEDNESDAY, 5 DEC 2012
ASIC boss Greg Medcraft has said that the results of the corporate watchdog's latest audit inspection show a drop in quality and are disappointing. The report for the 18 months to 30 June 2012 covered inspections of 20 Australian audit firms and found ...

ASIC bans two advisers

MELANIE TIMBRELL  |  TUESDAY, 25 SEP 2012
ASIC has banned two advisers from providing financial services following breaches including unlawful early release of superannuation benefits. Simon Turudia, formerly an authorised representative of AMP Financial Planning was found to have arranged ...

Harsh ASIC ban on Seagrim slashed

BEN COLLINS  |  FRIDAY, 7 SEP 2012
An ASIC ban on the directors of planning business Seagrims Pty Ltd has been reduced by the Administrative Appeals Tribunal (ATT), allowing them to again work in financial services. Peter Seagrim and Anne-Marie Seagrim appealed to the independent appeals ...