Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 81 - 90 of 107 results for %22Australian Financial Services Pty Ltd%22

Mortgage broker arrested

HAMISH MADDEN  |  THURSDAY, 15 JUN 2006
A former mortgage broker has been arrested and charged following an investigation by the Australian Securities and Investments Commission (ASIC). Michael Cay was arrested in Beechworth, Victoria, following an ASIC investigation into his conduct as the ...

SMSF adviser ordered to repay clients

The Australian and Securities Investments Commission (ASIC) has ordered a self-managed superannuation fund (SMSF) adviser to repay his clients a total of $77,000. In December last year, ASIC had obtained permanent injunctions to prevent Steven Preston ...

ASIC completes wind up of SMSF adviser

... applied for orders restraining the PFS Group from conducting a financial business without holding an Australian Financial Services licence (AFSL). Similarly orders were also placed on Shaun White Pty Ltd. ASIC alleged that the PFS Group misled investors ...

ASIC nabs planner and catches two directors

The Australian Securities and Investments Commission (ASIC) has brought fraud charges against a former National Australia Bank (NAB) adviser and two directors of a financial services company. Paul Drakos, an authorised representative of NAB lost a total ...

ASIC nabs SMSF adviser

... nine related companies from carrying on a business related to superannuation without holding an Australian Financial Services Licence (AFSL). The nine other companies include PFS Group, Kaluski White & Associates (Black Gully Road) Ltd, Meridian Event ...

ASIC bans SMSF adviser

... self managed super fund adviser after it was found the adviser had conducted business without an Australian financial services licence (AFSL) and provided misleading advice to consumers about rolling their superannuation entitlements into self managed ...

ASIC moves against unlicensed business

... following an investigation into written advertisements and the operation of business without holding an Australian financial services licence. The written advertisements included recommendations which aimed to influence people to acquire shares in companies ...

Former financial adviser guilty of fraud

... ASIC from acting as a representative of a securities dealer, investment adviser or holder of an Australian Financial Services licence on 1 July 2002.

ASIC moves against a high-yield investment scheme.

... shares in Biograd Filters Pty Ltd and operating a financial services business without obtaining an Australian Financial Services Licence. The court has also extended its injunctions against Victor Lynas, James Lynas and Christine Lynas all of Kuraby ...

ASIC cracks down on early access to superannuation scheme

... declared that he and his companies have operated a financial services business without holding an Australian Financial Services (AFS) licence and has consented to an injunction that will prevent himself and his companies from operating any activities ...