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Showing 81 - 84 of 84 results for "AAT"

AAT requests ASIC reinstate securities dealers' licences

The Administrative Appeals Tribunal (AAT) has upheld an appeal by Chapel Road Pty Ltd and required that the Australian Securities and Investments Commission (ASIC) reinstate its securities dealers' licences. The AAT has ordered the reinstatement of ...

Saxby Bridge wins reprieve, Braysich ban lifted

The Administrative Appeals Tribunal (AAT) has upheld an appeal by Sydney's Saxby Bridge Financial Planning and ABS Securities to request that the Australian Securities and Investments Commission (ASIC) reinstate its securities dealers' licences, albeit ...

Life ban upheld for former Feldworth investment adviser

The Administrative Appeals Tribunal (AAT) has upheld the permanent ban of Hans Felden, formerly of Feldworth Financial Services, from acting as an investment adviser or securities dealer, the Australian Securities and Investments Commission (ASIC) said ...

Five-year ban for securities adviser

John Fernando The Administrative Appeals Tribunal (AAT) has upheld a decision of the Australian Securities and Investments Commission (ASIC) to ban Jan Jungstedt, a former securities representative of Epic Securities, for five years on charges that ...