Search Results | Showing 211 - 220 of 441 results for "Pty Ltd" |
| | | ... services license suspended for 12 months for failing to comply with a number of ASIC obligations. ASIC found that Paritech Pty Ltd failed to lodge financial statements, auditor reports and auditor opinions over a number of years, which was in breach ... |
| | | | ... employee at his former workplace. Jonathan Kur, who was an authorised representative for Hogan and Partners Stockbrokers Pty Ltd, appeared in court last week, charged with 16 counts of fraud worth $8.8 million, and one charge of dishonestly using his ... |
| | | | ... period. It is alleged by the Australian Securities and Investments Commission (ASIC) that Hobson, when employed by Binma Pty Ltd trading as Noall & Co, misappropriated $307,000 and attempted to misappropriate $120,000 of client funds between March and ... |
| | | | ... he failed to comply with financial services laws. Deutsch was an authorised representative of Romad Financial Services Pty Ltd (RFS) and the Responsible Manager and Key Person of RFS's Australian financial services licence (AFS) since June 2004. An ASIC ... |
| | | | ... Guarantee Charge Act was valid under the constitution has lost in the High Court of Australia. The case, Roy Morgan Research Pty Ltd v Commissioner of Taxation, ultimately found that the Superannuation Guarantee Charge Act (SGCA) and the Superannuation ... |
| | | | ... breached his obligations to the company by transferring approximately $1.5 million of investor money out of Mortimer Close Pty Ltd for his personal benefit. Investments in Mortimer Close were intended for a land development in Wellard, south of Perth ... |
| | | | ... 2008, concluded "misleading or deceptive conduct in relation to the transfer of funds from Tran's company, Nirvana Shares Pty Ltd, to client accounts," said the ASIC release. Tran is not able to provide financial services after ASIC found her actions ... |
| | | | ... and business-related expenses". In August, ASIC proceeded to wind up two Townsville companies, Understanding Retirement Pty Ltd and N.F & J.M Dodd & Associates, citing "just and equitable grounds" or "insolvency" after the companies mutual director ... |
| | | | ... clients. The regulator found that Radovan, who, while acting as an authorised representative of Infocus Securities Australia Pty Ltd, recommended financial products to more than 30 clients between 2006 and 2008, and in a number of cases didn't have a ... |
| | | | ... and for borrowers, the setting aside of the loans and all monies paid pursuant to the loans to Great Southern Finance Pty Ltd and its successor, BABL," Dennis said. The lead applicant is Cutforth Pty Limited, which invested just over $1 million in Great ... |
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