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7631 media releases found
8 November 2019 MEDIA RELEASE
19-305MR ASIC cancels AFS licence of Southern Mortgages Ltd

ASIC has cancelled the Australian financial services (AFS) licence of Warrnambool-based responsible entity, Southern Mortgages Ltd (SML), for failure ...

7 November 2019 MEDIA RELEASE
19-304MR ASIC bans West Australian finance broker and cancels Australian Credit Licence of Element Finance Group

ASIC has banned Mr Tim Zheng, the director of Element Finance Group Pty Ltd (EFG), a West Australian mortgage broking company, from engaging in ...

7 November 2019 MEDIA RELEASE
19-303MR Former Sydney adviser banned for four years

ASIC has banned former Sydney-based financial adviser Adrian Khaw from providing financial services for four years. This follows an ASIC surveillance ...

7 November 2019 MEDIA RELEASE
19-302MR Queensland financial adviser banned for three years

ASIC has banned Queensland financial adviser Mark Alexander Rothnie for three years for failing to act in the best interests of his clients and for ...

6 November 2019 MEDIA RELEASE
19-301MR ASIC takes court action against Super Trustee, promoter and others

ASIC has commenced action in the Federal Court in South Australia focused on the promotion of the MobiSuper Fund, a division of the Tidswell Master ...

6 November 2019 MEDIA RELEASE
19-300MR ASIC obtains freezing orders against Sydney financial adviser Ross Andrew Hopkins, QWL and QWL Asset Management

On 4 November 2019, ASIC obtained consent orders and undertakings in the Supreme Court of New South Wales against Mr Ross Andrew Hopkins, QWL Pty Ltd ...

5 November 2019 MEDIA RELEASE
19-299MR ASIC acts against SMSF auditor misconduct

ASIC has moved to disqualify or add conditions to the registration of three auditors of self-managed superannuation funds (SMSFs). The actions arose ...

1 November 2019 MEDIA RELEASE
19-298MR Former Aon Hewitt financial adviser banned for two years

ASIC has banned Thanh Huu Tran, a former authorised representative of Aon Hewitt Financial Advice Limited, from providing financial services for a ...

31 October 2019 MEDIA RELEASE
19-297MR ASIC takes civil penalty action against RI Advice and former Melbourne financial adviser, John Doyle: Royal Commission case study

ASIC commenced court action in the Federal Court today against RI Advice Group Pty Ltd (RI Advice) and a former financial adviser, John Doyle. RI ...

30 October 2019 MEDIA RELEASE
19-296MR ASIC warns trustees on new rules for Putting Members’ Interests First

ASIC has called on superannuation trustees to improve the standard of communication to fund members about important reforms impacting member ...

Last updated: 23/03/2016 03:08