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3482 media releases found matching the topic "Financial services"
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
19-303MR 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 ...

28 October 2019 MEDIA RELEASE
19-293MR ASIC wins appeal against Westpac subsidiaries

The Full Federal Court has today upheld ASIC’s appeal from a decision of the Federal Court regarding Westpac subsidiaries, Westpac Securities ...

28 October 2019 MEDIA RELEASE
19-292MR ASIC imposes additional licence conditions on IOOF Investment Services Ltd to improve governance and conflicts management

ASIC has imposed additional licence conditions on the Australian financial services (AFS) licence of IOOF Investment Services Ltd (IISL) as part of ...

Last updated: 23/03/2016 03:08