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Showing 11 - 20 of 441 results for "Pty Ltd"

Two financial services directors fined $15k over reporting failures

MATTHEW WAI  |  TUESDAY, 25 NOV 2025
Directors of Sheffield Insurance Pty Ltd (trading by the name of Sheffield Insurance Services), Phillip Bird and Daniel Holmes, have been convicted of two offences and fined $15,000 over failure to lodge financial statements and auditors' reports with ...

Interprac sued over Shield, First Guardian failures

JAMIE WILLIAMSON  |  THURSDAY, 13 NOV 2025
... parent company of Interprac - entered a trading halt. Together, Interprac representatives Venture Egg and Rhys Reilly Pty Ltd advised about 6843 clients to invest some $677 million into the Shield Master Fund and First Guardian Master Fund. Of these ...

$15m crypto scam costs former adviser 10 years

JAMIE WILLIAMSON  |  THURSDAY, 12 JUN 2025
... 2024. During this time, Rogan was a financial adviser with Fincare and an authorised representative of Private Wealth Pty Ltd. Her authorisation was revoked in February 2024. Rogan was banned for engaging in misleading or deceptive conduct. ASIC said ...

Touchstone closes flagship fund

KARREN VERGARA  |  TUESDAY, 3 JUN 2025
... statement to Financial Standard : "After consultation with the fund's investment manager Touchstone Asset Management Pty Ltd (Touchstone) and our own analysis of the fund, we are of the view that the fund's viability was in question due to low ...

Former financial adviser charged in alleged $160k super fraud case

ANDREW MCKEAN  |  FRIDAY, 9 MAY 2025
... been removed. Editor's note: A previous version of this article incorrectly conflated the conduct of Wealth Street Pty Ltd with Wealth Street Property Pty Ltd. The matters referenced in this article wholly relate to Wealth Street Pty Ltd.

Queensland adviser banned for five years

MATTHEW WAI  |  MONDAY, 31 MAR 2025
... August 2025, control, whether alone or in concert with one or more other entities, each of Balanced Life Financial Group Pty Ltd (BLFG) and Balanced Life Wealth Strategies Pty Ltd (BLWS); and until 30 September 2025, perform any function involved in ...

RBA and ASIC slam the ASX: 'Deeply disappointed'

ELIZA BAVIN  |  MONDAY, 31 MAR 2025
... response, the RBA has taken the unprecedented step of reassessing the compliance of ASX Clear Pty Limited and ASX Settlement Pty Ltd with the RBA's Financial Stability Standards outside the usual annual assessment cycle. The RBA has downgraded its assessment ...

SMA Reporting Standard launches

KARREN VERGARA  |  FRIDAY, 28 FEB 2025
... accounts (SMAs) sector. SMARS is spearheaded by the Adviser Ratings Group and operates as a separate entity, SMA Standard Pty Ltd. SMARS ultimately applies RG 97 Disclosing fees and costs in PDSs and periodic statements to SMAs. The framework aims to ...

Majority pass adviser exam

KARREN VERGARA  |  FRIDAY, 6 SEP 2024
... employer and clients about having passed the Financial Advisers Exam. ASIC found that he provided his employer, Cojag Pty Ltd, which trades as Horizon Financial Planners, with a fake Financial Advisers Exam certificate and told colleagues and clients ...

ASIC proposes cash equity clearing and settlement rules

ANDREW MCKEAN  |  TUESDAY, 30 JUL 2024
... share supervisory responsibilities for the four CS facilities in the ASX Group: two central counterparties - ASX Clear Pty Ltd and ASX Clear (Futures) Pty Ltd - and two securities settlement facilities - ASX Settlement Pty Ltd and Austraclear Limited ...