Search ResultsShowing 1 - 5 of 5 results for "Halifax Investment Services"
ASIC bans AFSL chief executives
ELIZABETH MCARTHUR  |  MONDAY, 29 APR 2019
... million dollars investing with Courtenay House. Worboys was also the chief executive and founder of Halifax Investment Services, which is in administration. Investigations are continuing into the company, with ASIC having suspended its financial services ...
ASIC suspends online broker AFSL
KARREN VERGARA  |  TUESDAY, 15 JAN 2019
ASIC has suspended the AFSL of an online stockbroking firm until 10 January 2020. Halifax Investment Services had its licence suspended shortly after it went into voluntary administration. ASIC said the terms of the suspension will allow Halifax clients ...
Ascot Securities appoints head of private wealth
KERRIE SYDEE  |  TUESDAY, 24 MAY 2016
... EJM Securities and head of client sales and solutions at BBY. He has also held senior roles with Halifax Investment Services and HSBC Stockbroking Australia. Commenting on the appointment, Ascot Securities managing director, Matthew Roberts said: "Evan ...
ASIC warns planners, be careful who you hire
JAMES FERNYHOUGH  |  TUESDAY, 7 MAY 2013
... action. ASIC has also recently taken action against Clearing & Settlement Services Pty Ltd (CSS), and Halifax Investment Services Ltd (Halifax). In both cases ASIC singled out failures in supervision and monitoring of authorised representatives.
Halifax to fix deficiencies after ASIC review
ALICE URIBE  |  FRIDAY, 5 APR 2013
Halifax Investment Services (Halifax) will appoint an independent consultant to review its business after the Australian Securities and Investments Commission (ASIC) found deficiencies in the business. ASIC accepted an enforceable undertaking (EU) and ...
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