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Showing 21 - 30 of 439 results for "Financial Services business"

MAX Awards 2026 finalists revealed

STAFF WRITER  |  TUESDAY, 21 APR 2026
Voting is now open for the 2026 Financial Standard MAX Awards. The finalists for the 2026 MAX Awards have been selected across 19 categories. The MAX (Marketing, Advertising and Sales Excellence) Awards shine a light on individuals and teams excelling ...

ASIC hands down 10-year adviser ban

ELIZA BAVIN  |  THURSDAY, 9 APR 2026
... will see Godfrey banned from providing financial services, controlling an entity that carries on a financial services business or performing any function involved in the carrying on of a financial services business, under ss920A and 920B of the Corporations ...

Former MWL Financial adviser banned for six years

ELIZA BAVIN  |  TUESDAY, 10 MAR 2026
... adviser Raluca Terheci from providing financial services, controlling an entity that carries on a financial services business or performing any function involved in the carrying on of a financial services business for six years. The regulator found Terheci ...

Another MWL Financial Services adviser banned

ANGELIQUE MINAS  |  THURSDAY, 12 FEB 2026
... McPherson is prevented from providing financial services, controlling an entity that carries on a financial services business or performing any function involved in the carrying on of a financial services business. The ban is one of many being imposed ...

ASIC bans adviser who stole from super accounts

JAMIE WILLIAMSON  |  FRIDAY, 6 FEB 2026
... work as both today. Valvo is permanently banned from providing any financial services, controlling a financial services business, or working within a financial services business.

BPS Financial fined $14m over Qoin Wallet

ANGELIQUE MINAS  |  WEDNESDAY, 28 JAN 2026
... from making any false or misleading representation about the product, as well as from carrying on a financial services business without an AFSL for 10 years. The court ordered that BPS Financial publish an adverse publicity notice on the Qoin Wallet ...

Former UGC adviser's appeal against ASIC ban accepted

MATTHEW WAI  |  TUESDAY, 27 JAN 2026
... Milutin Petrovic was banned from providing financial services or performing any function within a financial services business for six years due to misconduct, including failing to uphold key advice obligations when recommending clients to invest in the ...

ASIC welcomes support for simplifying guidance on conflicts of interest

MATTHEW WAI  |  TUESDAY, 16 DEC 2025
... in place to effectively manage all conflicts of interest, except those that occur wholly outside a financial services business. The updated guidance will now demonstrate how the law applies to conflicts of interest in conflicts management obligations ...

ASIC takes action on Spice Capital Partners, founder

KARREN VERGARA  |  WEDNESDAY, 10 DEC 2025
... successful, ASIC will be granted restraining orders on Oxlade and Spice Capital from carrying on a financial services business without an AFSL. Oxlade has been on ASIC's radar for other misconduct. ASIC banned Oxlade from working as a director for four ...

Chris Marco sentenced to prison over $34m fraud

MATTHEW WAI  |  FRIDAY, 31 OCT 2025
... on 7 December 2020. The court also ordered that Marco be permanently restrained from carrying on a financial services business without an Australian financial services licence (AFSL) or operating an unregistered managed investment scheme, ASIC said. ...