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Showing 61 - 70 of 1668 results for "Register"

Adviser banned after $11.3m loss

ELIZA BAVIN  |  WEDNESDAY, 22 OCT 2025
... make public its decision to ban Northcott. Northcott's banning has been recorded on ASIC's Banned and Disqualified register.

ASIC slaps MWL adviser with ban over Shield involvement

MATTHEW WAI  |  WEDNESDAY, 22 OCT 2025
... financial services-related functions for eight years. Spooner's ban has been recorded on the Banned and Disqualified Register. He is just the latest MWL financial adviser to be banned, following the earlier suspension of four advisers in July. On August ...

Feature: Compliance | Passing the buck

ELIZA BAVIN  |  WEDNESDAY, 15 OCT 2025
The retirement savings of thousands of Australians have been lost in the First Guardian and Shield failures and, while investigations are ongoing, the blame for their collapse and the misconduct that led to it is being passed around like a football ...

BlackRock looks to add Bitcoin ETF to local suite

MATTHEW WAI  |  WEDNESDAY, 15 OCT 2025
... to ASIC filings. Last month, a new managed investment scheme titled 'iShares Bitcoin ETF' appeared on the ASIC Register, followed by the registration of a 'Trustee for iShares Bitcoin ETF' on the Australian Business Register. BlackRock ...

ASIC bans another former Lighthouse Partners director

ANGELIQUE MINAS  |  THURSDAY, 9 OCT 2025
... publishing the decision. He withdrew his application on 1 October of this year, and the ban has been recorded in ASIC's register.

3500 advisers at risk as deadline looms

JAMIE WILLIAMSON  |  TUESDAY, 30 SEP 2025
ASIC is urgently calling on financial advisers to review the accuracy of their Financial Adviser Register profile if they intend to continue providing advice into 2026 and beyond. The regulator said, based on current information, some 3459 advisers ...

ASIC permanently bans jailed adviser

MATTHEW WAI  |  FRIDAY, 26 SEP 2025
... ban took effect from 15 September 2025. Del Vecchio's banning has been recorded on ASIC's banned and disqualified register, and he has the right to appeal to the Administrative Review Tribunal for a review. Under the Corporations Act, ASIC may permanently ...

Federal court slams director for 'fanciful' asset valuation

ELIZA BAVIN  |  TUESDAY, 23 SEP 2025
The Federal Court has disqualified Queensland-based director David Hodgson from managing corporations for five years and permanently restrained him from engaging in financial services without an Australian financial services licence (AFSL). This comes ...

Unprecedented US M&As a boon for Australia: BGA

KARREN VERGARA  |  MONDAY, 22 SEP 2025
Mergers and acquisitions (M&A) in the US wealth management sector have reached unprecedented levels over the last five years and the local sector is poised to benefit highly from this, according to Berkshire Global Advisors (BGA). Bomy Hagopian, a partner ...

ASIC issues interim stop orders to RELI Capital

RIDDHIMA TALWANI  |  FRIDAY, 19 SEP 2025
ASIC has issued an interim stop order against the RELI Capital Mortgage Fund, a registered managed investment scheme operated by RELI Capital. The regulator said it is to protect consumers and retail investors from acquiring a product not suitable for ...