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Showing 41 - 50 of 158 results for "ASIC for"

Finfluencers bridge financial advice gap

KARREN VERGARA | THURSDAY, 18 MAY 2023

One year since ASIC forced finfluencers to obtain a general advice licence or else, finfluencers playing by the rules are reaching financially illiterate and disengaged Australians in a way that traditional advice has failed to. Finfluencers backed ...

Illegal early release of super sees director banned

CHLOE WALKER | TUESDAY, 18 APR 2023

Gold Coast director Darren Edden-Brown has been banned by ASIC for eight years for promoting and assisting in the illegal release of superannuation. The corporate regulator found that while sole director of home buying firm Enigma, Edden-Brown had wrongfully ...

ASIC investigates CHESS replacement blunder

KARREN VERGARA | WEDNESDAY, 29 MAR 2023

The corporate and securities watchdog has commenced an investigation into the ASX's botched CHESS replacement program. The ASX, its subsidiaries ASX Clear and ASX Settlement, and responsible directors and officers are under scrutiny for their role ...

Advice group chief fakes exam result, banned

JAMIE WILLIAMSON | THURSDAY, 16 MAR 2023

The chief executive of a North Sydney financial advice group is permanently banned by ASIC for faking his Financial Adviser Exam results. In December 2021, Bluepoint Consulting chief executive and co-founder Todd Karamian altered the result on his Financial ...

ASIC questioned over workplace culture

CASSANDRA BALDINI | THURSDAY, 23 FEB 2023

... is people are taking opportunities in the market to increase salaries in other areas. Or quite frankly have worked at ASIC for some time and other taking advantage of opportunities that have now become available," he concluded.

Advice group convicted of hawking

JAMIE WILLIAMSON | WEDNESDAY, 22 FEB 2023

... AFSL was cancelled in December and its two responsible managers, Gail Glasby and Paul Carcallas, were both banned by ASIC for 10 years. At the time, ASIC said the firm adopted a 'layered advice' strategy whereby the licensee separated the advice ...

Andrew Hagger leaves Tattarang

JAMIE WILLIAMSON | TUESDAY, 25 OCT 2022

... decade. His departure followed a grilling at the Royal Commission which resulted in him being personally investigated by ASIC for a time. Hartman said he is excited to be taking on the new role and said he has learned a lot working alongside Hagger. ...

MSC Trustees adds to board

JAMIE WILLIAMSON | MONDAY, 15 AUG 2022

... their appointments, MSC Trustees' board is now mostly independent directors. With this, MSC Trustees intends to apply to ASIC for a corporate collective investment vehicle (CCIV) authority. The CCIV regime came into effect on July 1. The composition ...

Former adviser charged over faked books

CHLOE WALKER | TUESDAY, 28 JUN 2022

... like he was compliant with his obligations as an authorised representative. In 2019, Nguyen was permanently banned by ASIC for his dishonest conduct with the regulator saying he is likely to contravene financial services law in future for reasons including ...

Spaceship chair banned for two years

JAMIE WILLIAMSON | TUESDAY, 7 JUN 2022

The chair of Spaceship Capital has been banned by ASIC for failing to understand all the financial services offered by the group. Paul Ernest Dortkamp has been banned from performing functions as an officer and responsible manager of a financial services ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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