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Showing 661 - 670 of 903 results for "Banned"

ASIC sends warning to property spruikers

JAMES FERNYHOUGH  |  THURSDAY, 16 MAY 2013
... investigation found the company had failed to comply with credit laws. The Melbourne-based company's director, Matthew George, was banned from engaging in credit activities for eight years. He also received a three-year ban from providing financial services. ...

ASIC charges former financial adviser

LAURA MILLAN  |  FRIDAY, 12 APR 2013
... BDT, a managed investment scheme in 2010 whose responsible entity was Traditional Values Management. On 6 May 2011, ASIC banned Mr Whitting from providing financial services for a period of four years and also suspended Kedesco's AFS licence for three ...

Securities dealer scales back after ASIC review

LAURA MILLAN  |  THURSDAY, 4 APR 2013
... Services Pty Ltd (RFS) and International Securities & Derivatives Group (ISDG). ASIC also announced yesterday that it has banned accountant Nicholas James Ellis of Valentine in New South Wales from providing financial services for six years following ...

Same Day Money loses credit licence

LAURA MILLAN  |  MONDAY, 11 MAR 2013
... Credit Licence (ACL) of Cairns-based business Same Day Money. Same Day Money director Lawrence James Sullivan has also been banned from engaging in credit activities for four years. ASIC considers both Sullivan and Same Day Money not fit to engage in ...

Former Astarra director permanently banned from fin services

LAURA MILLAN  |  THURSDAY, 7 MAR 2013
The Australian Securities and Investments Commission (ASIC) announced today that it has permanently banned former Astarra Asset Management director Eugene Liu from providing financial services for failing to comply with financial services laws. Liu ...

Industry urged to understand changes to transfer rules

BEN COLLINS  |  THURSDAY, 14 FEB 2013
... Australian Tax Office would be tightening the rules from July this year. From 1 July this off-market transfers will be banned, but Burgess said that it was likely that the SIS act regulations would allow what it called "on-market crossing." This would ...

Rum outcome for Bundy: ASIC suspend license

MARK SMITH  |  FRIDAY, 8 FEB 2013
A day after a Western Australian credit broker had his license revoked for breaking the law, the industry body has banned Harold Charles Bundy for three years after it found he was not a fit and proper person to engage in credit activities. The ban ...

ASIC cancels national planning firm's license

MARK SMITH  |  THURSDAY, 7 FEB 2013
... communicate the consequences of the license cancellation to its clients. In a separate case, ASIC has also permanently banned Constantinos Patniotis, of East Perth, Western Australia, from engaging in credit activities after an investigation found he ...

ASIC eyes off researchers

BEN COLLINS  |  TUESDAY, 11 DEC 2012
... potentially corrosive as direct conflicts to the integrity of the research and that it will not require the latter to be banned," said Amanda Gillespie, chief executive of Lonsec Research.

Adviser permanently banned after eight year fraud

ALEX DUNNIN  |  WEDNESDAY, 5 DEC 2012
... more than $3.6 million over eight years. According to a statement from ASIC, the Court ruled that Melinda Scott would be banned from providing any financial services and disqualified her from managing corporations for 25 years. The Court also made orders ...