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

Search Results

Showing 241 - 250 of 335 results for "Cancelled"

Queensland director banned for two years

DARREN SNYDER  |  FRIDAY, 10 JUL 2015
... the Paladin Monetizer Fund (ARSN 153 294 083) are no longer in operation. Exalt has also requested its AFS licence be cancelled.

ASIC reviews One Big Switch, bans adviser

DARREN SNYDER  |  TUESDAY, 30 JUN 2015
... client redemptions at the date of maturity or at a time clients elected to redeem their funds. On 15 December 2014, ASIC cancelled the AFS licence of Protect Ensure as a result of Protect Ensure not having adequate financial resources to provide the ...

Sherwin principal faces court for SMSF fraud

LAURA MILLAN  |  THURSDAY, 25 JUN 2015
... the former chief executive of Wickham Securities, Garth Peter Robertson, was charged with fraud. In June 2013, ASIC cancelled the registration of the auditor of Wickham Securities, Brian Kingston, after forming the view he failed to carry out or perform ...

ASIC bans convicted fraud "mastermind"

ALEX BURKE  |  FRIDAY, 22 MAY 2015
... restriction they would realise there was no value in the stock." Now, a year after Revell-Reade's conviction, ASIC has cancelled his financial services licence and prevented him from practicing financial services in Australia. "Mr Revell-Reade's involvement ...

Treasury proposes higher regulatory levies for super funds

ALEX BURKE  |  THURSDAY, 21 MAY 2015
... "approximately" 1,660 applications, 49% of which were approved. In the same period, eight AFSLs were suspended and 120 were cancelled. "The report is part of ASIC's ongoing commitment to providing greater public information about our regulatory activities. ...

ASIC cancels Sydney broker licence

ALEX BURKE  |  THURSDAY, 7 MAY 2015
... unrelated dealership). Finding Lim had provided credit outside of these terms under the point of sale exemption, ASIC cancelled her licence. "Those offering credit under an exemption to hold an Australian credit licence must adhere to the bounds of the ...

Wealthsure to cancel AFS licence

LAURA MILLAN  |  FRIDAY, 1 MAY 2015
Wealthsure Group will request for its Australian Financial Services (AFS) licence to be cancelled, following the acquisition by Sentry Group. Wealthsure (WPL) has already transferred some of its authorised representatives to Wealthsure Financial Services ...

Advisers Register hits 22k

DARREN SNYDER  |  WEDNESDAY, 29 APR 2015
... watchdog has banned 17 people from providing financial advice, removed five advisers through enforceable undertakings and cancelled 18 licences. It has also accepted enforceable undertakings from six licensees requiring them to undertake major improvements ...

Market wrap

AAP  |  WEDNESDAY, 25 FEB 2015
... plunged 16 cents, or 1.6%, to $9.98 despite lifting its full year income five per cent and co-chief executive Peter Lowy cancelled plans to step down. Among the major banks, National Australia Bank was 17 cents higher at $37.75, Westpac fell three cents ...

ASIC imposes conditions on Guardian Advice

STAFF WRITER  |  WEDNESDAY, 7 JAN 2015
... Advice's appointment of a number of ex-representatives of AAA Financial Intelligence and AAA Shares after the regulator cancelled their licences in February 2013. ASIC wanted to ensure Guardian Advice had adequate monitoring and supervision processes ...