Search Results | Showing 251 - 260 of 344 results for "Cancelled" |
| | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... "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. ... |
| | | | ... 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 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | Boutique Protect Ensure Pty Ltd has had its Australian financial services (AFS) licence cancelled by the Australian Securities and Investments Commission (ASIC) following a suspension of its licence earlier this year. ASIC suspended Protect Ensure's ... |
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