ASIC, Holly Marie Grofski
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As a result of her dishonesty-based convictions, Holly Grofski will be automatically disqualified as a company director for five years.
ASIC ban, featured, Mark Jennings, Suncoast Trading Pty Ltd, unlicensed forex brokers
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Mark Jennings advertised under the name Equity Trade that he could make ‘50%, 100% or 200% per year GUARANTEED RETURNS’.
ASIC, Australia binary options, binary options, featured
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ASIC’s Binary Options ban has been fully effective in preventing retail clients from losing money trading binary options in Australia.
AFS license, featured
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The ASIC licence exception does not apply to those entities that provide service to Australia retail clients.
AFS licence, featured, Sirius Financial Markets, Trade360
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Following an ASIC investigation, Sirius Financial Markets Pty Ltd, trading as ‘Trade360’, has surrendered its AFS licence.
featured, Volt, Volt Bank
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The ASIC relief is needed to enable Volt Corporation to prepare its annual report on a non-going concern basis.
AFS licence, featured, Lanterne
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ASIC has commenced civil penalty proceedings in the Federal Court against Lanterne Fund Services Pty Ltd.
AFS licence, featured, ISG
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ASIC has suspended the Australian financial services (AFS) licence of ISG Financial Services Limited (ISG).
AFS license, featured, Quattro Management
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ASIC has cancelled the Australian financial services (AFS) licence of Quattro Management Pty Limited.
featured, fees for no service, Mercer Financial Advice
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ASIC has taken Mercer Financial Advice to Court for misleading customers about fees for no service and disclosure statement failures.
