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Showing 31 - 40 of 439 results for "Financial Services business"

Crown Wealth director banned for two years

KARREN VERGARA  |  THURSDAY, 30 OCT 2025
... hails from Newcastle, is not adequately trained or competent to perform functions in, or control, a financial services business after failing to adequately address fees for no service misconduct by Lighthouse Partners, one of its representatives. ASIC ...

James Mawhinney launches another appeal

JAMIE WILLIAMSON  |  TUESDAY, 28 OCT 2025
... unacceptable risk" that he will re-enter the fray and conduct, most likely through corporate vehicles, a financial services business that "adopts a financially reckless approach that exposes the investing public to significant risk of loss". Mawhinney ...

ASIC bans adviser attached to UGC, MWL

ELIZA BAVIN  |  THURSDAY, 23 OCT 2025
... adviser Jovan Videkanic 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 seven years. The regulator said ...

Adviser banned after $11.3m loss

ELIZA BAVIN  |  WEDNESDAY, 22 OCT 2025
... more financial services, perform one or more functions as an officer of an entity that carries on a financial services business, or control an entity that carries on a financial service business," ASIC said. ASIC banned Northcott on April 28, but on ...

ASIC cancels CPG Research & Advisory's AFSL

RIDDHIMA TALWANI  |  FRIDAY, 10 OCT 2025
... now-defunct Linchpin Capital, effective October 7. The cancellation comes after CPG ceased to carry on a financial services business and failed to pay industry funding levies, which were outstanding for over 12 months. CPG held the AFSL since 28 January ...

ASIC bans another former Lighthouse Partners director

ANGELIQUE MINAS  |  THURSDAY, 9 OCT 2025
... ban prevents Archibald from providing any financial services, performing any function involved in financial services business, and controlling any entities that uphold a financial services business. The ban order was made effective from 30 June; however ...

Federal court slams director for 'fanciful' asset valuation

ELIZA BAVIN  |  TUESDAY, 23 SEP 2025
... sole director. The court found Hodgson, MacroLend and Great Southland each conducted an unlicensed financial services business between 2015 and 2023. ASIC said this was of significant concern as MacroLend and Great Southland raised around $109 million ...

Federal Court slaps Mawhinney with 15-year ban

KARREN VERGARA  |  MONDAY, 8 SEP 2025
... risk" that Mawhinney will re-enter the fray and conduct, most likely through corporate vehicles, a financial services business that "adopts a financially reckless approach that exposes the investing public to significant risk of loss". He may also fail ...

Perth man found guilty of $34m fraud

ELIZA BAVIN  |  MONDAY, 8 SEP 2025
... Marco and AMS Holdings. The court also ordered that Marco be permanently restrained from carrying on a financial services business without an Australian Financial Services Licence or operating an unregistered managed investment scheme.

ASIC permanently bans convicted investment manager

MATTHEW WAI  |  TUESDAY, 2 SEP 2025
... corrections order since late last year, is permanently suspended from providing any functions of a financial services business. An ASIC investigation found that, between April and October 2019, Trevillian forged four portfolio performance verification ...