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ASIC

onestopbrokers-Regulators

ASIC bans convicted former adviser from credit industry

15/04/2014(0)
The Australian Securities and Investments Commission (ASIC), has permanently banned Mr Pavan Vyas from engaging in credit activities after he was convicted for dishonest conduct. Mr Vyas submitted 15 ... Read More
ASIC_regulator

ASIC charges former CEO of IT companies

15/04/2014(0)
The Australian Securities and Investments Commissions (ASIC), has issued an announcement that Mr Peter Mavridis, of Bentleigh, Victoria, has appeared before the Melbourne Magistrates Court after an ASIC investigation ... Read More
ASIC_regulator

ASIC: Former Portfolio manager pleads guilty to misusing his position

11/04/2014(0)
ASIC has released a warning informing that a former Vanguard Investments Australia Limited portfolio manager pleaded guilty in the Supreme Court of Victoria to making improper use of his ... Read More
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Wealth Within Ltd pays $20,400 in penalties over misleading advertising

11/04/2014(0)
ASIC has issued a press released informing that Wealth Within Limited has paid $20,400 in penalties after ASIC issued two infringement notices for misleading online advertisements. The advertisements related ... Read More
ASIC_regulator

ASIC obtains orders cancelling 15 million shares held in Northwest Resources Limited

11/04/2014(0)
Following an application by ASIC, the Federal Court of Australia has ordered the cancellation of 15 million shares in ASX-listed Northwest Resources Limited (Northwest) that were held in the ... Read More
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ASIC takes civil action against Mariner and its directors

03/04/2014(0)
ASIC has started legal action against Mariner Corporation Limited (Mariner) and its current and former directors. ASIC is seeking financial penalties and disqualification orders following the company’s proposed takeover ... Read More
ASIC_regulator

ASIC: lender pays $30,600 penalty for misleading online advertisements

02/04/2014(0)
Australian Securities and Investments Commission (ASIC), has announced that “Paid International Ltd”, formerly known as First Stop Money Ltd, has paid $30,600 in penalties after ASIC issued three infringement ... Read More
ASIC_regulator

ASIC: Former finance broker pleads guilty to fraud

28/03/2014(0)
ASIC has issued an announcement informing the investors the following: A former finance broker has admitted to stealing the identities of former clients so she could buy two cars, ... Read More
onestopbrokers-Regulators

ASIC bans bankrupt financial adviser

28/03/2014(0)
ASIC has banned Victorian-based financial adviser, Mr Allan Burt Vissenjoux, from providing financial services. Mr Vissenjoux, who is an undischarged bankrupt, has been banned from providing financial services until ... Read More
ASIC_regulator

ASIC bans former WA accountant

28/03/2014(0)
ASIC has permanently banned former accountant, Mr Arden Rodrick Wittensleger, 44, of Menora in Western Australia, from providing financial services and engaging in credit activity. ASIC took action after ... Read More
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