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Showing 1 - 10 of 49 results for "Jan Redfern"

Astarra director banned, loses AAT appeal

LAURA MILLAN | MONDAY, 3 NOV 2014

... decision to permanently ban former Astarra director Eugene Liu from providing financial services. AAT senior member Jan Redfern said: "there is no evidence to suggest that Mr Liu has reformed or that he admits and is remorseful about his conduct." She ...

Adviser goes to jail for $1.5m fraud

RUTH LIEW | THURSDAY, 29 MAY 2008

... for money which would be of great importance to them later in life," said ASIC executive director of enforcement, Jan Redfern. "[Yesterday's] sentence should serve as a reminder that individuals who abuse positions of trust and authority and misuse investors' ...

ASIC closes Risqy Forex scheme

RUTH LIEW | MONDAY, 3 MAR 2008

... Risqy carried on business in Australia without being registered to do so. ASIC executive director of enforcement, Jan Redfern said: "the law requires that manage investment schemes to be registered to better protect the interests of people who invest ...

Cairns planner jailed for fraud

CHRIS NICHOLLS | MONDAY, 5 NOV 2007

... decision. On April 27 2007, his conviction was overturned and a retrial ordered. ASIC's executive director of enforcement, Jan Redfern, said the sentence should serve as a clear reminder that operators who misused investor funds would face lengthy jail ...

Directors face prison term for lack of disclosure

MICHAEL HOBBS | MONDAY, 22 OCT 2007

... offshore entities, provided misleading information to ASIC, and not disclosing their interest in the company shares. Jan Redfern, executive director of enforcement at ASIC, said Corp and Smith's actions demonstrated a blatant disregard for the law. "Their ...

Adviser jailed for five and a half years

HAMISH MADDEN | FRIDAY, 9 FEB 2007

... break laws governing financial services risk significant consequences," ASIC's executive director of enforcement, Jan Redfern, said.

End for scheme scamming Greek community

HAMISH MADDEN | FRIDAY, 2 FEB 2007

... services without an Australian Financial Services License (AFSL). They were ordered not to engage in any similar conduct. Jan Redfern, ASIC's executive director of enforcement, said the regulatory system and process of registering managed investments ...

Courts continue to unwind Westpoint mess

HAMISH MADDEN | FRIDAY, 8 DEC 2006

... Jetstone, Network Company, Pagelight Nominees, Kingdream, Juson, Bridgeview Holdings and Westside Brisbane Developments. Jan Redfern, ASIC executive director of enforcement, said the rulings were another step in sorting out the mess left behind from ...

Patersons' poor compliance under review

... accounts. Financial services licensees must have comprehensive arrangements in place to manage these risks," said Jan Redfern, ASIC's executive director of enforcement. ASIC said it is in ongoing discussions with both Patersons and Ord Minnett to ensure ...

Liquidator gets 12 month suspension

... maintain independence and avoid conflicts in the administration of companies over which they are appointed," said Jan Redfern, Executive Director of Enforcement said. "Secondly, Justice Tamberlin's decision confirms that it is permissible to have regard ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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