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Showing 1 - 10 of 35 results for "Associated entities"

ASIC charges developer over alleged $10m fraud

VINNY VUCAGO  |  TUESDAY, 23 JUN 2026
... Public Prosecutions. Separate civil and contempt proceedings involving McWilliams, his wife Laura Fullarton and associated entities remain before the courts.

Adviser ban stretched to 2028 in ASIC deterrence win

RIDDHIMA TALWANI  |  WEDNESDAY, 13 MAY 2026
... vulnerable individuals to invest their entire retirement savings in a way that primarily benefited UGC and its associated entities, while exposing those investors to significant risk. "Despite the gravity of the concerns raised, Rogers demonstrated limited ...

Former Berndale director pleads guilty

VINNY VUCAGO  |  MONDAY, 4 MAY 2026
... benefit and to related parties. Regulators later moved to freeze the company's assets, with Berndale and its associated entities ultimately wound up in 2019. The misconduct forms part of broader regulatory crackdown on retail OTC derivatives providers ...

Capital Group takes stake in Qualitas

KARREN VERGARA  |  TUESDAY, 21 OCT 2025
... interest in the ASX-listed firm. Capital Group declined to comment on acquiring the stake. Schwartz and his associated entities continue to hold and have voting control over 57.3 million Qualitas shares or nearly 19% of the issued capital. Qualitas' ...

Qualitas co-founder trades in equity for $53m

KARREN VERGARA  |  MONDAY, 20 OCT 2025
... officer and I intend to remain a significant shareholder in the company." Following the sale, Schwartz and his associated entities will continue to hold and have voting control over 57.3 million Qualitas shares or some 19% of the issued capital. Qualitas ...

Sequoia appoints licensee, adviser services lead

ELIZA BAVIN  |  WEDNESDAY, 7 MAY 2025
... attempted to overthrow the leadership. The panel handed down several restrictions on the shareholders and their associated entities that at the time had substantial ownerships in Sequoia.

Australian Wealth Advisors Group invests big in Sequoia

KARREN VERGARA  |  TUESDAY, 4 FEB 2025
... attempted to overthrow the leadership. The panel handed down several restrictions on the shareholders and their associated entities that at the time had substantial ownerships in Sequoia. Last July, Crole accepted a fixed-term contract that extended ...

ASIC proposes cash equity clearing and settlement rules

ANDREW MCKEAN  |  TUESDAY, 30 JUL 2024
... ASIC to establish rules for the activities, conduct, and governance arrangements of CS facility licensees and associated entities. The consultation paper is seeking feedback on proposals to implement the 2017 Council of Financial Regulators Regulatory ...

Build Your Wealth adviser cops ban

KARREN VERGARA  |  FRIDAY, 26 JUL 2024
... between Luff's business and Storehouse - the investment manager of the Storehouse Residential Trust and associated entities. Build Your Wealth's AFSL operated from September 2020 to December 2023. Luff also ran Active & Ethical Financial Solutions ...

Rogue Sequoia shareholders slapped with orders

KARREN VERGARA  |  MONDAY, 15 JUL 2024
... to overthrow the leadership. The panel handed down several restrictions on the rogue shareholders and their associated entities that have substantial ownership in Sequoia. This follows the panel making a declaration of "unacceptable circumstances" in ...
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