ASIC BAN

Financial planning

Gavin Fineff sourced over $5 million form clients and individuals as loans and, without their knowledge, gambled and lost a significant amount of those funds, according t...

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Superannuation

Mark Goldenberg operated an illegal early access to superannuation scheme and engaged in credit activities without an Australian credit licence....

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SMSF

Wayne Blazejczyk recommended clients with low super balances to set up a SMSF and use an admin service he was the owner of and to invest in a fund that he was the investm...

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Policy & Regulation

Max David Goldenberg has been banned for eight years after illegally allowing clients to access their super to buy a home....

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People & Products

Keybridge Capital’s Nicholas Bolton has returned to his chief executive role following expiry of a ban made by the Australian Securities and Investments Commission (ASIC)...

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Policy & Regulation

ASIC has banned a Perth-based accountant from providing any financial services for six years, after finding that he both contravened and was likely to again contravene a ...

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Policy & Regulation

The securities regulator has banned Yossef Ashkenazi of Victoria from providing financial services for a period of eight years....

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SMSF

The regulator has disqualified Oscar Altavilla from being an approved auditor of SMSFs following breaches of independence and auditing standards....

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Policy & Regulation

The regulator has banned Spectrum Wealth Advisers’ Gurumukh Singh Mehra from providing financial services for three years after surveillance showed he failed to act in hi...

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Policy & Regulation

The Administrative Appeals Tribunal has set aside a decision by the regulator to ban Perth adviser Robert Hutchison from providing any financial services....

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Financial planning

The regulator has permanently banned unlicensed financial adviser, Senen Pousa, from providing financial services or engaging in credit activity....

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Policy & Regulation

The investments regulator has permanently banned Vicky Bee Chin Lim, the sole director of a firm closely affiliated with Malaysia’s JJ Global Network Holdings, from provi...

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Financial planning

A former NAB adviser has pleaded guilty to two charges of submitting financial planning documents for his own personal gain....

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Financial planning

Financial adviser Drew Grosskreutz has been banned from providing financial services for a period of three years....

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Financial planning

Ex-AMP Financial Planning adviser, Daniel Joseph Noonan has been permanently banned by ASIC after he misappropriated $2.5 million. ...

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MARKET INSIGHTS

So we are now underwriting criminal scams?...

2 months 3 weeks ago

Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...

2 months 3 weeks ago

Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...

4 months 3 weeks ago

ASIC has suspended the Australian Financial Services Licence of a Melbourne-based financial advice firm....

1 week 3 days ago

The corporate regulator has issued infringement notices to three AFSLs whose financial advisers provided personal advice to a retail client while unregistered....

2 weeks 1 day ago

ASIC has released the results of its first adviser exam to be held in 2025, with 241 candidates attempting the test....

2 weeks 6 days ago