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Showing 1 - 10 of 3274 results for "January 2018"

Another MWL adviser banned over Shield collapse

RIDDHIMA TALWANI  |  THURSDAY, 16 JUL 2026
ASIC has banned another MWL Financial adviser Nicole Niu 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 for ...

First Mutual unregistered MIS wound up

KARREN VERGARA  |  WEDNESDAY, 15 JUL 2026
First Mutual Private Equity's (FMPE) unregistered managed investment scheme (MIS), which allegedly gambled $80 million of investor money, has been wound up by the Federal Court. Justice Button approved ASIC's application to facilitate the orderly ...

NAB-owned WealthHub cops $1m ASIC fine

VINNY VUCAGO  |  WEDNESDAY, 15 JUL 2026
NAB-owned online broker WealthHub Securities has been hit with a $1.055 million penalty after ASIC found it failed to accurately report regulatory data more than 9.5 million times over a decade. ASIC said he reporting failures undermined the corporate ...

ASIC levy estimates jump 19% as regulator ramps up funding

VINNY VUCAGO  |  MONDAY, 13 JUL 2026
ASIC has lifted its estimated industry funding levy by almost 20% for 2025-26, with regulated entities expected to shoulder $400.5 million in regulatory costs as the corporate watchdog expands its supervision and enforcement activities. The regulator's ...

Bravura ups guidance, reports earnings increase

RIDDHIMA TALWANI  |  FRIDAY, 10 JUL 2026
Bravura Solutions informed investors cost discipline will protect its full year earnings result after a client migrated to a Business Process Outsourcing (BPO) early in the year. The financial services technology provider has updated its full year earnings ...

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 ...

HESTA executive jumps ship to Cbus

VINNY VUCAGO  |  WEDNESDAY, 8 JUL 2026
A C-suite executive from HESTA has taken on a new role as chief member officer at Cbus, effective October. HESTA confirmed chief engagement and growth officer Joshua Parisotto will depart after more than six years with the fund. Parisotto first joined ...

Singaporean VC snags Natixis head of distribution

MATTHEW WAI  |  WEDNESDAY, 8 JUL 2026
The former Natixis Investment Manager head of wholesale distribution has joined a Singaporean venture capital firm to lead its distribution and client relationship management across the Tasman Sea. After closing a four-year chapter at Natixis, Jason ...

June adviser exam registers 72% pass rate

KARREN VERGARA  |  MONDAY, 6 JUL 2026
ASIC reported a 71.7% pass rate in the latest round of financial adviser exam results. Some 209 people sat the exam, including 137 first-timers, in June. Of the first-timers, 75.9% or 104 passed the exam. To date, 22,748 individual candidates have sat ...

ASIC ceases a further 26 authorisations after review

MATTHEW WAI  |  FRIDAY, 3 JUL 2026
ASIC has completed the review on the Financial Advisers Register (FAR) relating to compliance with the qualifications standard that took effect on 1 January 2026, as adviser numbers plummeted below 15,000 entering the new financial year. The review ...
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