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Showing 41 - 50 of 600 results for "Authorised Representative"

ASIC bans advisers for dodgy Shield Master Fund advice

KARREN VERGARA  |  WEDNESDAY, 9 JUL 2025
... Some also went into the Balanced class, which was deemed a medium-high risk investment. Bradley was an authorised representative of MWL Financial Services from 11 October 2017 to 27 December 2021, and from 28 March 2022. ASIC found that Bradley's Statements ...

Licensee compliance head banned over fees for no service

MATTHEW WAI  |  WEDNESDAY, 9 JUL 2025
... and has been recorded on ASIC's banned and disqualified register. Lighthouse Partners was a corporate authorised representative of Crown Wealth Group until last year when its Australian financial services licence (AFSL) was cancelled after the group ...

Adviser receives permanent ban over 'dishonest' conduct

MATTHEW WAI  |  TUESDAY, 8 JUL 2025
... function within an entity that carries a financial services business. Between 2007 and 2024, King was an authorised representative of Principal Financial Group, Total Financial Solutions Australia, and Wealth Effect Advisory. Further until August 2024 ...

ASIC cancels Financial Services Group Australia's AFSL

KARREN VERGARA  |  MONDAY, 16 JUN 2025
ASIC has cancelled the AFSL of Financial Services Group Australia (FSGA), which has links to the Shield Master Fund and First Guardian Master Fund. FSGA's responsible manager (RM) Graham Holmes has also been permanently banned from working in the ...

$15m crypto scam costs former adviser 10 years

JAMIE WILLIAMSON  |  THURSDAY, 12 JUN 2025
... having been added in February 2024. During this time, Rogan was a financial adviser with Fincare and an authorised representative of Private Wealth Pty Ltd. Her authorisation was revoked in February 2024. Rogan was banned for engaging in misleading or ...

Former adviser accused of theft loses lengthy extradition fight

JAMIE WILLIAMSON  |  FRIDAY, 16 MAY 2025
... Financial Management, and clients into believing she had invested the money when she had not. Pearson was an authorised representative of Ballast between November 2007 and October 2013. At the time, Colisa traded as Anmar Financial Consultants, of which ...

Former financial adviser charged in alleged $160k super fraud case

ANDREW MCKEAN  |  FRIDAY, 9 MAY 2025
... the Financial Advisers Register, Popal first provided financial advice in 2004 and was previously an authorised representative for Alpha Investment Management from April 2014 to March 2016. During this period, he was licensed to advise on SMSFs, though ...

ASIC bans unlicensed WA adviser

ELIZA BAVIN  |  FRIDAY, 2 MAY 2025
... licence (AFSL) since 30 September 2022 but had been active in the industry since 2004. Kendrick was an authorised representative of Great Southern Securities between 8 March 2004 and 21 October 2005, Professional Investment Services between 22 July 2009 ...

Shield Master Fund terminated, new receivers for Keystone Asset Management

KARREN VERGARA  |  WEDNESDAY, 16 APR 2025
The Shield Master Fund (SMF) has been terminated while its responsible entity Keystone Asset Management (KAM) has been appointed a new receiver and administrator. The troubled SMF was terminated on April 10 after the new receiver, Alvarez & Marsal ...

Three AFS licensees pinged over compliance breaches

ANDREW MCKEAN  |  WEDNESDAY, 9 APR 2025
... providing personal advice to retail clients. A relevant provider includes a financial services licensee, an authorised representative, or an individual employed by or acting as a director of a financials services licensee who's authorised to provide ...