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Showing 251 - 260 of 335 results for "Cancelled"

ASIC cancels boutique's AFSL

HARRY PAGE  |  THURSDAY, 18 DEC 2014
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 ...

ASIC acts on 440 SMSF auditors

LAURA MILLAN  |  THURSDAY, 18 DEC 2014
... who did not undertake or pass a competency exam necessary to retain their registration have seen their registration cancelled by the Australian Securities and Investments Commission (ASIC). ASIC has also disqualified two SMSF auditors whose application ...

Unlicensed Torquay adviser gets 7 year ban

LAURA MILLAN  |  MONDAY, 17 NOV 2014
... three clients lost a combined total of over $38,000 through the unauthorised trading. Shore Capital's AFS licence was cancelled on 16 October 2014 as it no longer operates a financial services business. Logan and Shore Capital have a right of appeal ...

Accountant pays $10,000 fine for $100,000 fraud

LAURA MILLAN  |  FRIDAY, 3 OCT 2014
... Securities. Lim held an Australian financial services licence (AFSL) from May 2010 until March 2013, when he voluntarily cancelled it and refunded $100,000 to the investor. The Australian Securities and Investments Commissions (ASIC) brought the matter ...

ASIC suspends advice firm for three months

LAURA MILLAN  |  WEDNESDAY, 1 OCT 2014
... Ensure requiring them to tell their clients their licence has been suspended and what that means. In July 2014, ASIC cancelled the group's Australian credit licence following concerns it failed to continue to be a member of an external dispute resolution ...

Time to get shorty?

BENJAMIN ONG  |  TUESDAY, 30 SEP 2014

ASIC cracks down on advisers over PI insurance

LAURA MILLAN  |  THURSDAY, 7 AUG 2014
The Australian Securities and Investments Commission (ASIC) has cancelled seven Australian financial services (AFS) licenses that did not comply with professional indemnity (PI) insurance obligations. The review targeted licensees which had not requested ...

Licensee under ASIC scrutiny after employing AAA advisers

LAURA MILLAN  |  WEDNESDAY, 30 JUL 2014
... representatives of AAA Financial Intelligence and AAA Shares after their Australian financial services (AFS) licenses were cancelled by the regulator in February 2013. ASIC identified numerous instances where financial product advice provided by PGW ...

ASIC obtains court orders against former Ballast adviser

LAURA MILLAN  |  THURSDAY, 24 JUL 2014
... financial services. Joyner was an authorised representative of Peter Joyner & Associates until the business had its licence cancelled by ASIC in April 2011. After that, Joyner continued to provide financial services without an AFS licence. He engaged ...

ASIC cancels 8 AFSLs after review

LAURA MILLAN  |  TUESDAY, 22 JUL 2014
Eight advice businesses have had their Australian financial services (AFS) licenses cancelled after an Australian Securities and Investments Commission (ASIC) review into licensees that failed to lodge audited annual statement. The review has resulted ...