Search Results | Showing 221 - 230 of 252 results for "Financial Services Law" |
| | | The Administrative Appeals Tribunal has agreed with ASIC's decision to ban former Commonwealth Financial Planner Don Nguyen from providing financial services for seven years. Nguyen of Dulwich Hill, New South Wales, was disqualified by the Australian ... |
| | | | A former Victorian company director and adviser has been permanently banned from the industry after he withdrew more than $200,000 from client accounts over four months. ASIC found Nenad Petrovic, now living in Brisbane, acted dishonestly and contrary ... |
| | | | ASIC is continuing its crackdown of the financial services industry with the cancellation of two more licenses. Melbourne-based FP Investment Partners lost its licence for not making sure that the proper arrangements were in place for the management ... |
| | | | ASIC has cancelled the financial service license of Adelaide based firm Mark Power Financial Ltd, along with the license of its responsible manager Mark Raymund Power. The move follows concerns Mark Power Financial (MPF) didn't comply with ASIC's obligations ... |
| | | | ASIC's clean-up of the financial services industry is continuing with the banning of a Melbourne-based authorised representative of Romad Financial Services. Rory Mor Macleod Deutsch of Box Hill North cannot provide financial services for four years ... |
| | | | The Administrative Appeals Tribunal has granted a stay on ASIC's ban of Romad Financial Services licence, although not without a number of conditions. The Administrative Appeals Tribunal (AAT) said yesterday it would grant a stay for Melbourne-based ... |
| | | | ASIC is continuing its clean up of the financial services sector with the banning of another Sydney based planner. Stephen Paul Hing of Enmore has been barred from providing financial services for four years after an investigation revealed he took part ... |
| | | | Banned South Australian financial adviser, Trevor Wayne Carll, is facing 28 charges from ASIC, including deception, with a possible jail time of ten years for each offence. Carll, of Port Pirie, South Australia, was banned from the industry in February ... |
| | | | ... comply as it stands now. ASIC will also be able to ban a person of poor character, likely to contravene a financial services law or acts in a contravention of obligations by another person. Finally, advisers found in breach of new best interest obligation ... |
| | | | Former chair of the Law Council of Australia Superannuation Committee, Peggy Haines, has joined the Plum Superannuation Fund and the Plum Pooled Superannuation Trust as a board trustee. Haines, a senior superannuation and financial services lawyer ... |
|