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Showing 331 - 340 of 442 results for "Financial Services business"

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' ...

ASIC shuts illegal FX trading website

ASIC RELEASE  |  THURSDAY, 25 NOV 2010
... products in Australia. The court orders obtained by ASIC also prevent AC Trading from carrying on a financial services business and accepting or receiving money in relation to their products, among others. AC Trading is also required to immediately publish ...

Tasmanian former adviser charged for no AFSL

MEDIA RELEASE  |  TUESDAY, 23 NOV 2010
... license. Vafiadis appeared in the Hobart Magistrates' Court charged with two counts of carrying on a financial services business without an AFSL, following an investigation by ASIC. The corporate regulator alleges that between January 2006 and February ...

Patron signs IOOF Pursuit

RUTH LIEW  |  TUESDAY, 5 OCT 2010
... said IOOF's head of sales, Alexandra Tullio. Patron Financial Advice is a non-institutionally owned financial services business that provides a suite of services to its advisers and their clients.