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Showing 1 - 10 of 10 results for %22Halifax Investment Services%22

Halifax auditor to cough up fines

KARREN VERGARA  |  THURSDAY, 19 AUG 2021
The auditor of Halifax Investment Services have been slapped with criminal charges and will pay up to $40,000. In a first for Australia's audit sector, Robert James Evett and EC Audit (formerly Bentleys NSW Audit) have been convicted by the Commonwealth ...

Halifax auditors face criminal charges

ELIZABETH MCARTHUR  |  TUESDAY, 8 JUN 2021
... against the auditor relating to the audits of the profit and loss statements and balance sheets of Halifax Investment Services. The regulator alleges Evett and his company failed to conduct the audits correctly. The maximum penalty for the offences occurring ...

ASIC cancels stockbroker AFSL

ANNABELLE DICKSON  |  WEDNESDAY, 13 JAN 2021
The corporate regulator has cancelled the Australian financial services licence of Halifax Investment Services nearly two years after it was placed into administration. The cancellation took effect from 8 January 2021 and allows the licence to operate ...

ASIC bans AFSL chief executives

ELIZABETH MCARTHUR  |  MONDAY, 29 APR 2019
... million dollars investing with Courtenay House. Worboys was also the chief executive and founder of Halifax Investment Services, which is in administration. Investigations are continuing into the company, with ASIC having suspended its financial services ...

ASIC suspends online broker AFSL

KARREN VERGARA  |  TUESDAY, 15 JAN 2019
ASIC has suspended the AFSL of an online stockbroking firm until 10 January 2020. Halifax Investment Services had its licence suspended shortly after it went into voluntary administration. ASIC said the terms of the suspension will allow Halifax clients ...

Industry stars recognised at 2017 MAX Awards

JAMIE WILLIAMSON  |  FRIDAY, 16 JUN 2017
... Morgan Asset Management for the JPMorgan Systematic Alpha Fund. J.P. Morgan Asset Management head of Australia funds David Halifax accepted the award, stating: "Winning this award is a fantastic endorsement of all the work we've been doing over the last ...

Ascot Securities appoints head of private wealth

KERRIE SYDEE  |  TUESDAY, 24 MAY 2016
... at EJM Securities and head of client sales and solutions at BBY. He has also held senior roles with Halifax Investment Services and HSBC Stockbroking Australia. Commenting on the appointment, Ascot Securities managing director, Matthew Roberts said ...

ASIC warns planners, be careful who you hire

JAMES FERNYHOUGH  |  TUESDAY, 7 MAY 2013
... action. ASIC has also recently taken action against Clearing & Settlement Services Pty Ltd (CSS), and Halifax Investment Services Ltd (Halifax). In both cases ASIC singled out failures in supervision and monitoring of authorised representatives.

Halifax to fix deficiencies after ASIC review

ALICE URIBE  |  FRIDAY, 5 APR 2013
Halifax Investment Services (Halifax) will appoint an independent consultant to review its business after the Australian Securities and Investments Commission (ASIC) found deficiencies in the business. ASIC accepted an enforceable undertaking (EU) and ...

New leadership at ANZ wealth

RUTH LIEW  |  THURSDAY, 29 JUL 2010
... intention to grow more aggressively in the wealth segment." Van Der Wielen was previously managing director Clerical Medical, Halifax Life and European Financial Services, based in London. Prior to that, he held senior wealth management positions locally ...
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