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ASIC

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Former Perth director jailed for providing false and misleading information

16/05/2014(0)
The Australian Securities and Investments Commission (ASIC) has issued the following press release: Mr David Alan Zohar, a former director of Aluminex Resources Limited, was sentenced today to 14 ... Read More
ASIC_regulator

ASIC to impose licence conditions on two Commonwealth Bank financial planning businesses

16/05/2014(0)
The Australian Securities and Investment Commissions (ASIC) has announced that it will impose, by agreement, licence conditions on the Australian financial services licences of two financial planning businesses owned ... Read More
ASIC_regulator

ASIC issues penalty fine

15/05/2014(0)
The Australian Securities and Investments Commission (ASIC), issued two infringement notices for misleading statements in Product Disclosure Statements (PDS) for two investor funds the company manages as responsible entity ... Read More
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D2MX Pty Ltd pays infringement notice penalty to ASIC

06/05/2014(0)
The Australian Securities and Investments Commission (ASIC), has given D2MX Pty Ltd (D2MX) an infringement notice penalty and therefore has paid a total penalty of $110,000 to comply with an ... Read More
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ASIC cancels Banksia’s AFS licence

28/04/2014(0)
Australian Securities and Investments Commission (ASIC) has cancelled Banksia Mortgages Limited’s (Banksia Mortgages) Australian financial services (AFS) licence. Banksia Mortgages is one of four subsidiaries of the Victoria-based Banksia ... Read More
ASIC_regulator

ASIC cancels Parramatta insurance broker’s AFS licence

24/04/2014(0)
The Australian Securities and Investments Commission (ASIC), has cancelled the Australian financial services (AFS) licence of Parramatta-based insurance broker, WD Gelle Insurance & Finance Brokers Pty Ltd. The company’s ... Read More
asic

Sonray director jailed following $46 million collapse

17/04/2014(0)
The Australian Securities and Investments Commission (ASIC), has issued a press release informing the investors that former sole director of Sonray Capital Markets Pty Ltd (Sonray), Mr Russell Andrew ... Read More
onestopbrokers-Regulators

CALDB suspends NSW joint liquidator for six months

16/04/2014(0)
The Companies Auditors and Liquidators Disciplinary Board (CALDB) has ordered the suspension of the registration of Mr William James Hamilton as a liquidator for six months following an application ... Read More
asic

ASIC: man pleads guilty to $260,000 fraud

16/04/2014(0)
The Australian Securities and Investments Commission has issued a press release informing the investors that a NSW Central Coast man has pleaded guilty to a $260,000 fraud. William John ... Read More
ASIC_regulator

ASIC suspends auditor

16/04/2014(0)
The Australian Securities and Investments Commission (ASIC), has announced the suspension of the registration of Wayne John Wessels, the former auditor of whitegoods distributor Kleenmaid, following a successful application ... Read More
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