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Showing 31 - 40 of 600 results for "Authorised Representative"

ASIC slaps MWL adviser with ban over Shield involvement

MATTHEW WAI  |  WEDNESDAY, 22 OCT 2025
... for advising his clients to invest their superannuation into the Shield Master Fund while he was an authorised representative of MWL Financial Services. Spooner, also a member of MWL's investment committee, was authorised by the firm on 24 May 2021. ...

AWAG to snap up 20% stake in First Mutual

RIDDHIMA TALWANI  |  TUESDAY, 7 OCT 2025
ASX-listed Australian Wealth Advisors Group (AWAG) will acquire a 20% stake in licensee First Mutual, in a bid to expand its AFSL and licensing services. The investment is on a cash basis and First Mutual will retain its autonomy and ownership structure ...

ASIC permanently bans jailed adviser

MATTHEW WAI  |  FRIDAY, 26 SEP 2025
... as a financial adviser for Freedom Finance Australia from November 2016 to October 2023. He was the authorised representative of Financial Services Partners from 12 December 2018 to 13 November 2020, and Wealth Trail from 13 November 2020 to 18 October ...

MHC Digital partners to launch stablecoin platform

MATTHEW WAI  |  MONDAY, 22 SEP 2025
... as chief executive. Bradford is the chair of JellyC, a digital asset investment manager and corporate authorised representative of TAF Capital. Meanwhile, MHC will provide supporting capital, strategic expertise and infrastructure, including trading ...

InterPrac wants super funds' reserves to remediate Shield, First Guardian victims

KARREN VERGARA  |  FRIDAY, 5 SEP 2025
InterPrac Financial Planning wants to rid itself of remediation obligations regarding the collapse of the Shield Master Fund and First Guardian Master Fund, saying that victims should be "fully compensated" via superannuation funds' reserves. InterPrac ...

ASIC piles more charges on Merhi

KARREN VERGARA  |  MONDAY, 1 SEP 2025
... Federal Court froze the assets of Merhi. He is the principal and financial adviser of Venture Egg, an authorised representative of Sequoia Financial Group's InterPrac Financial Planning. The court slapped travel restraint orders on Merhi in July ...

Adviser banned for UGC, Shield involvement

MATTHEW WAI  |  TUESDAY, 19 AUG 2025
... Property Fund (GCPF) and Pivotal Diversified Fund. The banning took effect from August 14. Rankin was an authorised representative of Next Generation Advice between 13 September 2021 and 11 November 2022 when he allegedly recommended his clients set ...

Decade-long ban for UGC director upheld

MATTHEW WAI  |  WEDNESDAY, 13 AUG 2025
... years in June 2024. He was the sole director, responsible entity and key person of UGC. Last year, UGC's authorised representative Global Capital Property Fund (GCPF) was found to have contacted prospective clients, urging them to establish a self-managed ...

Sequoia resumes trading after ASX query

ELIZA BAVIN  |  WEDNESDAY, 30 JUL 2025
Sequoia Financial Group has resumed trading after it responded to ASX queries over recent movement in the price and trading volumes of the stock. This comes as it also announced the departure of a board director. Sequoia entered a trading halt on July ...

ASIC sues Fortnum Private Wealth

KARREN VERGARA  |  TUESDAY, 22 JUL 2025
ASIC is suing Fortnum Private Wealth for allegedly failing to manage and comply with its cybersecurity obligations that exposed the information of its financial advisers and clients. In the NSW Supreme Court, ASIC alleges Fortnum exposed its authorised ...