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Showing 1 - 10 of 889 results for "Banned"

FCA pursues Neil Woodford again

KARREN VERGARA | THURSDAY, 11 JUN 2026

... the two parties made unreasonable and inappropriate investment decisions. Woodford was fined £5.89 million ($12.1m) and banned from being employed in senior manager roles and managing funds for retail investors. Woodford Investment Management (WIM) ...

Former Brite Advisors responsible manager banned

VINNY VUCAGO | WEDNESDAY, 10 JUN 2026

The Australian Securities and Investments Commission (ASIC) has permanently banned former Brite Advisors responsible manager Gerard Duffy from providing financial services after determining it had reason to believe he was not a fit and proper person. ...

ASIC launches action against Equity Trustees for $65m First Guardian failures

ELIZA BAVIN | THURSDAY, 21 MAY 2026

... and that the focus should be on those parties. "The actions by regulators and government to expose the misconduct of now-banned financial advisers and allegedly fraudulent promoters, responsible entities and investment managers are commendable, as are ...

ASIC bans property wealth coach operating without licence

RIDDHIMA TALWANI | MONDAY, 11 MAY 2026

ASIC has permanently banned Queensland property developer Trent Simon Giumelli from providing financial services after he raised $48 million from members for real estate wealth coaching programs without a financial services licence. ASIC has accused ...

Lead generation a 'conveyor belt of harm': Longo

RIDDHIMA TALWANI | THURSDAY, 7 MAY 2026

... high-pressure sales tactics and the AI-powered targeting of members on social media which cannot be effectively regulated should be banned outright. "We are calling for an outright ban on these tactics to protect members hard earned savings," Fok said. ...

ASIC bans another former MWL adviser

ELIZA BAVIN | THURSDAY, 23 APR 2026

ASIC has banned Sydney-based former financial adviser John Morgan 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 acts against another former FSGA adviser

JAMIE WILLIAMSON | MONDAY, 13 APR 2026

... ASIC said was experienced enough to know better than to advise clients to invest in Shield and First Guardian has been banned for five years. Shane Monte Silva failed to act in certain clients' best interests when he told them to switch their super so ...

ASIC bans former adviser Rhys Reilly for 10 years

KARREN VERGARA | MONDAY, 13 APR 2026

Former financial adviser Rhys Reilly has been banned from working in financial services for 10 years for "serious misconduct" in which he flogged the First Guardian Master Fund in return for conflicted remuneration. ASIC's investigation into Reilly ...

Former Venture Egg adviser permanently banned

JAMIE WILLIAMSON | THURSDAY, 9 APR 2026

... the dodgy referral processes that led to significant client losses due to the Shield and First Guardian collapses is now banned. Aristotle Papapavlou is permanently banned from any involvement in the financial services and credit industries. Papapavlou ...

ASIC hands down 10-year adviser ban

ELIZA BAVIN | THURSDAY, 9 APR 2026

ASIC has banned Benjamin Godfrey, the former director and responsible manager of ISG Financial Services Limited (ISG). ASIC suspended ISG's AFSL in July 2022 after it found it failed to meet statutory audit and financial reporting lodgement obligations. ...

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Invesco launches new equity fund

ELIZA BAVIN

Invesco said the new fund will give Australian investors access to a systematic global equity strategy with a 20-year track record.

FCA pursues Neil Woodford again

KARREN VERGARA

The Financial Conduct Authority (FCA) is going after failed fund manager Neil Woodford again, this time for allegedly providing unauthorised investment advice via W4.0, his Dubai-based investment platform.

Former APRA deputy chair launches retirement solutions startup

KARREN VERGARA

A former APRA deputy chair has launched CipherIQ, a new venture that provides retirement solutions via account-based pensions in partnership with superannuation funds, financial advisers and retirees.

Global X launches space tech ETF

MATTHEW WAI

Global X has now launched the space tech ETF (ASX: MOON).

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