ASIC bans former MWL financial adviser John Morgan for five years
The Australian Securities and Investments Commission (ASIC) has banned former financial adviser John Morgan from providing financial services.
ASIC News
Australian regulator acknowledges TMX Group agreement to purchase Cboe Australia
The deal is subject to ASIC’s regulatory approval. ASIC will seek to expedite its assessment of the application.
ASIC secures Court order against Cigno Australia, Mark Swanepoel, BSF Solutions, and Brenton Harrison
The Federal Court has ordered Cigno Australia and its director Mark Swanepoel and BSF Solutions and its director Brenton Harrison to pay a combined penalty of $7 million.
ASIC permanently bans former financial adviser Aristotle Papapavlou
ASIC has permanently banned Aristotle Papapavlou from involvement in a financial services business and engaging in credit activities.
ASIC bans former ISG director Benjamin Godfrey for 10 years
ASIC has banned Benjamin Godfrey, the former director and responsible manager of ACN 114 733 569 Limited (in liquidation), formerly known as ISG.
ASIC cancels licence of The Silverfern Group
ASIC has cancelled the Australian financial services (AFS) licence of The Silverfern Group Pty Ltd.
ASIC bans former MWL Financial Services adviser David Lofthouse for three years
The Australian Securities and Investments Commission (ASIC) has banned Melbourne-based financial adviser David Lofthouse.
ASIC cancels licence of Beacon Wealth
ASIC has cancelled Australian financial services (AFS) licence held by Beacon Wealth Pty Ltd.
ASIC remakes relief instruments for AFS licensees and overseas banks
ASIC has remade a legislative instrument providing relief for foreign companies that are Australian financial services licensees and foreign authorised deposit-taking institutions.
ASIC bans former Venture Egg, Reilly Financial and Interprac adviser for four years
Mr Hogan has been banned for failing to act in the best interests of clients, inappropriate advice and misleading, deceptive and unprofessional conduct.
