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Showing 1 - 4 of 4 results for "Theta Asset Management"

ASIC bans Theta managing director

KARREN VERGARA  |  MONDAY, 17 MAY 2021
ASIC has banned the managing director of Theta Asset Management for four years from the financial services industry. The banning order for Robert Patrick Marie comes after several instances of misconduct relating to Theta, the responsible entity of ...

Responsible entity fined $2m

ELIZA BAVIN  |  FRIDAY, 20 NOV 2020
A court has found Theta Asset Management and its managing director contravened the Corporations Act on multiple occasions in authorising the issues of five defective Product Disclosure Statements (PDSs). The court has ordered Theta to pay a penalty ...

Responsible entity declares insolvency

JAMIE WILLIAMSON  |  TUESDAY, 17 DEC 2019
... responsible entity for the Australian Corporate Bond Trust has placed itself into voluntary administration. Theta Asset Management has appointed Worrells Solvency and Forensic Accountants as administrators of itself and Value Stream Investment Management. ...

ASIC launches action against AFSL, director

ELIZA BAVIN  |  WEDNESDAY, 11 DEC 2019
... on the promotion and management of the Sterling Income Trust. The regulator said the action is against Theta Asset Management, an Australian financial services licensee and responsible entity for the trust, and Theta director Robert Patrick Marie. "ASIC ...
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