ASIC has permanently banned Melbourne based financial adviser Kudzanai Philip Dzawo from providing any financial services, performing any function involved in the carrying on of

The Administrative Appeals Tribunal (AAT) has upheld ASIC’s decision to permanently ban Sean John Sweeney from providing any financial services, performing any function involved in

Highlights Building societies have been a force for good, reaching under-served communities and customers, and turning risk into opportunity They must embrace technology and continue

Metal Alpha Pty Ltd director Brett Paul Trevillian has pleaded guilty to forging portfolio performance verification reports when he was the investment manager of AlphaThorn

He was also given a Rehabilitation Activity Requirement of 35 days and ordered to carry out 150 hours of unpaid work. On 28 March 2024,

Mr Sardar was interviewed by the FCA as part of an investigation it was conducting into a sophisticated boiler room scam that had defrauded 120

Two Western Australian directors have been convicted in the Perth Magistrates Court and fined $5,000 each for failing to comply with director identification requirements. Alexander

ASIC has commenced urgent proceedings in the Federal Court against Sunny Mahendra Prakash and his related companies, Principal Financial Services Pty Ltd, Self-Managed Super Pty

ASIC is calling on superannuation trustees to renew efforts to protect members from unscrupulous operators amid evidence of inadequate oversight of advice fee deductions. A

Following an ASIC investigation, the Markets Disciplinary Panel (MDP) has fined J.P. Morgan Securities Australia Limited (JPMSAL) $775,000 for permitting suspicious client orders to be