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Showing 311 - 320 of 425 results for "Financial Services business"

ASIC investigations lead to charges, interim orders

CLAIRE MCGREAL  |  TUESDAY, 15 NOV 2011
... AFT Finance Market Pty Ltd after ASIC discovered the company was operating without a license. The financial services business was behind website www.aftfx.com.au, which promoted trading in forex, metals and contracts for difference (CFDs) through the ...

ASIC bans authorised representative of Romad Financial Services

CLAIRE MCGREAL  |  TUESDAY, 8 NOV 2011
... 2011, and that there may be reason to believe he would do so again. ASIC found Deutsch carried on a financial services business by issuing interests in two unregistered managed investment schemes without holding an AFS licence or being authorised under ...

ANZ Wealth appoints head of advice delivery

RACHEL DAVIS  |  FRIDAY, 30 SEP 2011
ANZ Wealth has appointed a new head of advice delivery to provide dealership services to its advice businesses. Raelene Seales has been appointed head of advice delivery for ANZ Wealth. In her new role, Seales will establish and lead the Advice Delivery ...

ASIC bans adviser over deceptive conduct

RACHEL DAVIS  |  TUESDAY, 6 SEP 2011
... guilty in the Hobart Magistrates' Court on the 4 August 2011 of 2 counts of carrying on an unlicensed financial services business. Vafiadis will serve a minimum of 3 months imprisonment, with 3 months suspended on the condition that he enter into a recognisance ...

Director to challenge ASIC ban

ALISON BEVEGE  |  FRIDAY, 6 MAY 2011
... a member of the public and ASIC ruled that Protection & Collection was not licensed to carry on a financial services business. ASIC said Burnell had provided financial services for the company from 2009 until January this year, including those related ...

Market Wrap - Midday

AAP  |  THURSDAY, 5 MAY 2011
... Australia's biggest superannuation provider, AMP Ltd, says net cashflows for the first quarter at the AMP Financial Services business fell to $42 million, from $236 million a year earlier, as inflows slowed and outflows increased. AMP shares were down ...

Countplus buys super law firm

MATT WOODINGTON  |  MONDAY, 14 MAR 2011
Countplus increases its presence in Western Australia with the acquisition of Perth-based legal business SuperGeneration by its WA subsidiary McDonald Pynt Lawyers (MPL). SuperGeneration will receive 533,600 Countplus shares, priced at $1.50 each, and ...

Former Chartwell director pleads guilty

ELISE BURGESS  |  FRIDAY, 10 DEC 2010
... financial services licence and four counts of engaging in dishonest conduct in relation to carrying on a financial services business. The two executives of Chartwell faced a combined 243 charges brought by ASIC for the $60 million collapse of the Geelong-based ...

Astarra director faces five years jail, $220k fine

ASIC RELEASE  |  WEDNESDAY, 8 DEC 2010
... services. Richard pleaded guilty to two charges of dishonest conduct in the course of carrying on a financial services business, and admitted a third charge of making false statements in relation to financial products, in Sydney's Downing Centre Local ...

ASIC takes legal action against Storm founders and banks

ASIC RELEASE  |  FRIDAY, 26 NOV 2010
... permitting Storm to be exposed to legal liability, said ASIC. The liability comes from implementing a financial services business model which involved providing commoditised financial advice to investors, that failed to take into account the investors' ...