Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 351 - 360 of 442 results for "Financial Services business"

ASIC slaps six year ban for MIS fraud

ASIC RELEASE  |  MONDAY, 24 AUG 2009
... operated a managed investment scheme that was required to be registered but was not. West carried on a financial services business while not being the holder of an Australian financial services licence, and did not provide a product disclosure statement ...

ASIC cracks down on early release of super

ASIC RELEASE  |  THURSDAY, 20 AUG 2009
... in the Sydney Central Criminal Court against Faleono and Sini for dishonest conduct in operating a financial services business. Sini has been charged in relation to an illegal early release of a superannuation scheme. She allegedly banked 11 cheques ...

Chartwell execs face criminal charges

ASIC RELEASE  |  WEDNESDAY, 12 AUG 2009
... approximately $26 million, among other offences. Rau has been charged with one count of carrying on a financial services business without a financial services license, 10 counts of engaging in dishonest conduct in relation to financial services and four ...

Broker gets permanent ban from ASIC

COMPANY RELEASE  |  THURSDAY, 25 JUN 2009
... financial services law. ASIC also found that Clough breached a financial services law by carrying on a financial services business while not holding an Australian Financial Services Licence. "ASIC will not hesitate to ban individuals who disregard their ...

Bonnie and Clyde team caught for fraud

RUTH LIEW  |  THURSDAY, 28 MAY 2009
... two counts of dishonest conduct in relation to a financial product, and one count of conducting a financial services business without a licence following an ASIC investigation. His wife, Nicole White, pleaded guilty to one count of aiding and abetting ...

Netwealth adds tech services manager

PRESS RELEASE  |  MONDAY, 11 MAY 2009
... netwealth, said Chews appointment showed the importance the firm placed on growing a strong national financial services business. Mark Ryan, chief executive at FPSA, said Chew would provide the group's advisers with technical support on self managed ...

Charged for no AFSL

ASIC RELEASE  |  TUESDAY, 14 APR 2009
... director and faces charges of aiding, abetting, counselling and procuring the company to carry on a financial services business, including dealing in Westpoint promissory notes. Messrs Button, Shepherd and Sneddon are also charged with aiding, abetting ...

Myer considers a financial services division

WWW.THESHEET.COM  |  WEDNESDAY, 25 MAR 2009
Myer chief executive Bernie Brooks said the group would look at developing a financial services business when the current turnaround at the big retailer has been completed. Brooks told Business Spectator in an interview published yesterday that financial ...

Ex-director banned for 25 years

MEDIA RELEASE  |  MONDAY, 16 MAR 2009
... involved in a number of contraventions of the Corporations Act and ASIC Act including the operation of a financial services business without a licence. ASIC was also concerned that some of the funds raised by the SIH Group were lent to related companies ...

HSBC Premier business up 76 pc

COMPANY RELEASE  |  FRIDAY, 6 MAR 2009
HSBC Australia's personal financial services business grew its local customer base by more than 76 per cent in the past 12 months, but pre-tax profits were down compared to the previous year. The local arm saw pre-tax year-on-year profit up 42 per cent ...