Search Results | Showing 1 - 10 of 24 results for "Unregistered managed investment schemes" |
| | | ... professionalism and trustworthiness. ASIC said Giumelli contravened the law by operating unregistered managed investment schemes (MIS) and carrying on a financial services business without an Australian financial services license (AFSL) for eight years. ... |
| | | | ... direction issued to an adviser who recommended a client establish an SMSF to invest in certain unregistered managed investment schemes that were unsuitable to the client as they were for wholesale investors. |
| | | | ... investor issues totalled 44%, relating to credit issues, general licence obligations, unregistered managed investment schemes, unlicensed provision of financial services conduct, and other conduct related to advice, insurance, and misleading and deceptive ... |
| | | | ... documents signed, which contained high fees. About 40% of reports were in relation to unregistered managed investment schemes or financial services being provided without an Australian financial services licence (AFSL). The balance was issues related ... |
| | | | ... the schemes. The court found that Hopkins and The A Team Property Group were operating unregistered managed investment schemes and carrying on a financial services business without a licence. ASIC said Hopkins and The A Team Property Group promoted joint ... |
| | | | ... custodial and depository services to wholesale clients. It also provided trustee services to unregistered managed investment schemes, including the Magnolia Capital Opportunities Fund II (Magnolia Head Fund). Magnolia director Mitchell Atkins was an ... |
| | | | ASIC is suing the operator of several unregistered managed investment schemes that, among other investors, targeted SMSF members. Sasha Hopkins, director of The A Team Property Group, is facing civil action for alleged unlicensed conduct and running ... |
| | | | ... that covers the nominated responsible manager's competence in operating registered or unregistered managed investment schemes of the same asset type as proposed to be held by the CCIV," the report stated. "We will also accept re-lodgement of 'fit ... |
| | | | ... deceptive conduct. The court found that over $16 million was invested in the registered and unregistered managed investment schemes, believing that such products are insolvent. From 2015, PE Capital used the money raised via the MISs to fund eight mixed-use ... |
| | | | ... and its managed investment schemes. The regulator is alleging that PE Capital operated unregistered managed investment schemes including the PE Capital Property Development Fund, PE Capital Asia Wholesale Diversified Income Fund and PE Capital Asia Wholesale ... |
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