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Showing 61 - 70 of 155 results for "ASIC bans"

ASIC bans former adviser on IPO conduct

KANIKA SOOD  |  WEDNESDAY, 27 JUN 2018
ASIC has banned a former Victorian financial adviser who deliberately used false information while applying for shares in at least three IPOs that listed between 2015 and 2017. Mark Damion Kawecki has been banned from providing financial services for ...

ASIC bans former AMP adviser

HARRISON WORLEY  |  MONDAY, 4 JUN 2018
ASIC's wealth management project has banned a former Charter Financial Planning adviser for five years. Desmond Luplau has copped a five-year ban on the provision of financial services from the regulator for failing to act in the best interests of his ...

Spaceship beefs up senior management

KANIKA SOOD  |  MONDAY, 14 MAY 2018
... Australian regulators. The appointments are in response to Spaceship and trustee Tidswell Financial Services' April 10 ASIC bans on the fund's promotional material, the superannuation fund said. "The expansion of the board, along with two senior executives ...

ASIC bans former NAB, Westpac adviser

KARREN VERGARA  |  TUESDAY, 27 FEB 2018
ASIC banned a former NAB and Westpac adviser for five years for inappropriately providing superannuation and insurance advice. Brisbane-based financial adviser Christopher Ramsay was a representative of Westpac between 2010 and 2015. He went on to work ...

ASIC bans Perth adviser

DARREN SNYDER  |  FRIDAY, 23 FEB 2018
ASIC banned a Perth-based financial adviser for five years following an investigation as part of the regulator's life insurance lapse data project. Philip Leake is banned from providing financial services for five years after failing to act in his clients' ...

ASIC bans ex-CBA adviser for five years

KARREN VERGARA  |  THURSDAY, 18 JAN 2018
ASIC banned a former Commonwealth Financial Planning adviser from providing financial services for five years. ASIC found Kimberley Holgate advised clients to rollover their existing superannuation account to a new product issued by CBA's subsidiary ...

ASIC bans ex-AMP adviser

KARREN VERGARA  |  TUESDAY, 27 JUN 2017
ASIC permanently banned a Perth-based financial adviser for acting dishonestly and breaching his best interest duties in providing superannuation and insurance advice. David Fong was an authorised representative of AMP Financial Planning between January ...

ASIC bans former Westpac adviser

EMMA RAPAPORT  |  THURSDAY, 8 JUN 2017
A former representative of Westpac has been banned from providing financial services for five years following an ASIC investigation. Sudhir Kumar Sinha, a financial planner from Western Australian, was found to have systematically failed to meet his ...

ASIC bans former Avestra directors

ALEX BURKE  |  WEDNESDAY, 17 MAY 2017
Former directors of Avestra Asset Management have been banned from providing financial services for 10 years. Paul Rowles and Clayton Dempsey were found by the Federal Court to have engaged in multiple contraventions of the Corporations Act. These included ...

ASIC bans company director

JAMIE WILLIAMSON  |  FRIDAY, 21 APR 2017
A former director of a Melbourne-based investment banking securities dealer and asset management firm was banned from providing financial services by ASIC. Bingxing Hu was banned for five years after an ASIC investigation found he knowingly engaged ...