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Showing 81 - 90 of 439 results for "Financial Services business"

ASIC updates and reissues RG 121

ELIZA BAVIN  |  MONDAY, 23 SEP 2024
... provide updated guidance to individuals and companies from outside Australia that wish to conduct a financial services business in Australia. The newest version replaces the last guidance which was issued in June 2013. ASIC said RG 121 has been reissued ...

Melbourne adviser sentenced to 18 months' prison

ELIZA BAVIN  |  FRIDAY, 6 SEP 2024
... convicted by the County Court of Victoria on three counts of engaging in dishonest conduct while running a financial services business. Grimm was sentenced to 18 months' imprisonment, with nine months to serve, and a good behaviour bond for a period ...

Former Courtenay House director sentenced

MATTHEW WAI  |  TUESDAY, 3 SEP 2024
... financial service contrary to s1041G Corporations Act 2001 (Cth); An offence of carrying on an unlicensed financial services business contrary to s 911A Corporations Act 2001 (Cth); and Two further charges in relation to the s1041G offence. The sentence ...

Betashares completes Bendigo Superannuation acquisition

KARREN VERGARA  |  MONDAY, 2 SEP 2024
... Superannuation, will continue to be the provider under the new ownership. "As we expand into a broader financial services business, we're focussed on helping our clients make smarter financial decisions and create long-term value as they look to ...

Former wealth management chief ousted from financial services

ANDREW MCKEAN  |  FRIDAY, 2 AUG 2024
... ban from providing financial services. Hewish, who is also prohibited from holding any role within a financial services business, was also dealt a blow with the corporate regulator's decision to cancel United Global Capital's (UGC's) AFS licence. UGC's ...

Court rejects former fund manager's appeal

KARREN VERGARA  |  WEDNESDAY, 31 JUL 2024
... allegation of five counts of fraud under s408c of the Queensland Criminal Code and that he operated a financial services business without as AFS licence (AFSL). On 10 August 2021, his legal representatives filed an application seeking orders that the ...

ASIC bans 'incompetent' financial services directors

ANDREW MCKEAN  |  FRIDAY, 19 JUL 2024
... exchange contracts. The directors, Shay Zakhaim and Anthony Anderson, have been banned from running a financial services business as directors or as responsible managers for three and five years, respectively. ASIC cancelled XTrade's Australian Financial ...

ASIC permanently bans Queensland adviser

ELIZA BAVIN  |  THURSDAY, 18 JUL 2024
... banned from providing any financial services, performing any function involved in the carrying on of a financial services business and from controlling an entity that carries on a financial services business. ASIC found Abdalla, as the general manager ...

Adviser permanently banned for faking qualifications

JAMIE WILLIAMSON  |  TUESDAY, 9 JUL 2024
... as Dash Vee, is banned from providing financial services, controlling an entity that carries on a financial services business or performing any function involved in the carrying on of a financial services business. ASIC found that he provided his employer ...

ASIC freezes assets of Melbourne based licensee

ELIZA BAVIN  |  THURSDAY, 27 JUN 2024
... the disclosure orders that had been made and adjourned the matter. United Global is an Australian financial services business based in Melbourne which has held and Australian financial services license since 18 August 2017. The company described itself ...