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Showing 1 - 10 of 344 results for "Cancelled"

ASIC wins court order to wind up Capital Guard

RIDDHIMA TALWANI  |  WEDNESDAY, 29 JUL 2026
... regulated financial services provider that specialised in acquiring and holding corporate bonds on behalf of clients. ASIC cancelled Capital Guard's Australian financial services licence on June 29 after finding it had engaged in serious misconduct ...

ASIC ramps up action against SMSF auditors

VINNY VUCAGO  |  MONDAY, 27 JUL 2026
... January and June, ASIC disqualified four SMSF auditors, suspended three, imposed additional conditions on eight and cancelled the registrations of 21 auditors. Across the full financial year, the regulator disqualified eight auditors, suspended three ...

FSCP bans adviser over client advice failures

VINNY VUCAGO  |  MONDAY, 20 JUL 2026
The Financial Services Credit Panel (FSCP) has cancelled the registration of financial adviser Peter Morrison-Dowd and banned him from providing personal advice to retail clients until at least September 2027 after finding multiple breaches of his legal ...

ASIC cancels AFSL of Australian Fiduciaries

RIDDHIMA TALWANI  |  FRIDAY, 17 JUL 2026
ASIC has cancelled the Australian financial services licence (AFSL) of Queensland-based Australian Fiduciaries, which is currently in liquidation. This follows Australian Fiduciaries' inability to pay the amount determined by the Australian Financial ...

Another MWL adviser banned over Shield collapse

RIDDHIMA TALWANI  |  THURSDAY, 16 JUL 2026
... notification from the ART that Niu had withdrawn her application for a review of the decision. On 25 August 2025, ASIC cancelled MWL's Australian Financial Services licence, banned one of MWL's directors and its responsible manager. Niu is one ...

ASIC seeks to wind up Capital Guard AU

KARREN VERGARA  |  WEDNESDAY, 15 JUL 2026
... Trustpilot wrote they cannot contact their Capital Guard account managers, while their calls and emails go unanswered. ASIC cancelled Capital Guard's AFSL on June 29. The matter has been listed for a directions hearing on July 20.

ASIC cancels Trive Financial's AFSL as review into CFDs continues

VINNY VUCAGO  |  FRIDAY, 10 JUL 2026
ASIC has cancelled the Australian financial services licence (AFSL) of contracts for difference (CFD) issuer Trive Financial Services Australia, after determining the company was no longer carrying on a financial services business in Australia. The ...

ASIC cancels AFSL of Capital Guard over fake bond sale

ELIZA BAVIN  |  FRIDAY, 3 JUL 2026
ASIC has cancelled the Australian Financial Services Licence (AFSL) of Capital Guard after finding that it had engaged in dishonest conduct, including the selling of a fake bond and providing false documents to its auditor. ASIC said the licence was ...

Tribunal shortens financial adviser's five-year ban

KARREN VERGARA  |  WEDNESDAY, 1 JUL 2026
... enforcement approach and the allocation of accountability across the advice and product distribution chain. ASIC has cancelled the AFSL of MWL, while Cor Cordis was appointed as liquidators last November. MWL remains a member of the Australian Financial ...

ASIC slaps adviser with 10-year ban, strips AFSL

MATTHEW WAI  |  FRIDAY, 19 JUN 2026
... is not a fit and proper person to participate in financial services and applied the ban on 1 May 2025. ASIC has also cancelled the AFSL and Australian credit licence (ACL) of Freedom Wealth Services, effective from the same day. The ban will be lifted ...
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