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Showing 391 - 400 of 425 results for "Financial Services business"

Former financial adviser guilty of 18 criminal charges

... three counts of dishonest conduct in relation to a financial product or service while carrying on a financial services business under the Corporations Act, in the Local Court of NSW. Higgins' plea comes after ASIC brought 21 charges of dishonest misconduct ...

New guidelines on conflicts for AFS applicants

... relation to the provision of financial services by the licensee, or its representatives as part of their financial services business. For those groups who have lodged and AFS application before 1 January ASIC says it will still require proof before it ...

Investment management company director gaoled for seven years

... related to the time when he was the managing director of Financial Options Group Incorporated (FOGI), a financial services business providing investments in non-regulated foreign exchange bullion and base metal markets. It was alleged he made false statements ...

Superannuation 'cashback' promoters arrested trying to flee

... early access to their superannuation benefits. It was found the Michaliks were running an unlicensed financial services business and in conjunction with the orders to prevent the pair from leaving NSW, the two men were also restrained from carrying on ...

Unlicensed company stopped from issuing securities

... ASIC has prevented Ameya Computer Pty Ltd (Ameya) from offering financial products and conducting a financial services business without an Australian financial services licence (AFSL) after the company was caught advertising 'risk free' returns of 10 ...

Beware the cold calling con artist

... offshore it is probably gone forever. If you want to invest, deal only with a licensed Australian financial services business. Licensed Australian financial businesses can easily help you with overseas investments if you want, and you have more protection ...

Mortgage broker banned

... his company R Wynhoven and Associates engaged in misleading and deceptive conduct and conducted a financial services business without holding an Australian financial services licence. Mr Wynhoven misled and deceived investors when he convinced them to ...

Gold Coast wealth creation seminars stopped

The Supreme Court of Queensland has prohibited Jack Weavers and his company Oneworld Seminars (Oneworld) from rendering financial advice after finding he and his organisation were providing financial advice without holding an Australian financial services ...

Fiducian grows its funds under management

... financial planners to be part of this process. Fiducian continues to strive to build a specialist financial services business with strengths in financial planning and investment management. Managing director of Fiducian Indy Singh said "the positive ...

ASIC accepts National Australia Bank's enforceable undertaking

... forward to seeing the improvements that this enforceable undertaking will bring to the National's financial services business." ASIC continues to investigate the National to determine if any employees involved in the foreign currency options trading ...