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ASIC_regulator

AAT affirms ASIC’s disqualification and banning of the former MD of Provident Capital Ltd

04/05/2017(0)
On 2 May 2017 the Administrative Appeals Tribunal (AAT) upheld ASIC’s decision that Mr Michael Roger O’Sullivan of Sydney be disqualified from managing corporations for five years and from ... Read More
ASIC_regulator

ASIC bans former director of AFS Capital

20/04/2017(0)
ASIC has banned Dr Bingxing Hu (Dr Hu), of Melbourne, Victoria, from providing financial services for five years. Dr Hu was a director of AFS Capital Securities Limited ACN ... Read More
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Italian judge banned Uber from Italy

14/04/2017(0)
The ride-hailing company Uber is no stranger to controversy and regulatory issues. The latest of these roadblocks now comes from Italy, as the European country decided on April 7 ... Read More
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SFC bans a former employee of Citibank for six months

05/01/2017(0)
The Securities and Futures Commission (SFC) has banned Mr Cheung Kwan Po, a former employee of Citibank (Hong Kong) Limited (Citibank), from re-entering the industry for six months from ... Read More
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ASIC bans former ANZ Financial Planning adviser from financial services

12/12/2016(0)
ASIC has banned Mr Andrew TambyRajah, a former employee of ANZ Financial Planning, from providing financial services for a period of five years. Mr TambyRajah, of Sydney, New South ... Read More
ASIC_regulator

ASIC bans former AMP Financial Planning representative from providing financial services for eight years

18/11/2016(0)
ASIC has banned Mr James Edward McCarthy, a financial adviser from South Australia, from providing financial services until 14 November 2024. Mr McCarthy is the sole director of McCarthy ... Read More
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The Financial Conduct Authority (FCA) bans two individuals from the financial services industry

26/10/2016(0)
The Financial Conduct Authority (FCA) has issued on October 25 an announcement to inform that the Authority has banned two individuals from performing any function in relation to any ... Read More
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FCA: Investment and fund manager banned

24/10/2016(0)
On 20 October 2016 the Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Tariq Carrimjee of Somerset Asset Management LLP (Somerset) from carrying out the compliance oversight ... Read More
ASIC_regulator

ASIC permanently bans former Deutsche Bank FX trader

29/09/2016(0)
ASIC has permanently banned former Deutsche Bank FX options and futures trader, Andrew Donaldson, of Sydney, from providing financial services. The banning follows an ASIC investigation into Mr Donaldson’s ... Read More
ASIC_regulator

ASIC permanently bans former Sydney finance broker

12/09/2016(0)
ASIC has permanently banned former Sydney finance broker, Jennifer Farias of Elderslie, from engaging in credit activities and providing financial services. The bannings follow an ASIC investigation and criminal ... Read More
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