The Australian Securities and Investments Commission (ASIC) has suspended the Australian financial services (AFS) licence of Prime Value Asset Management Limited.
ASIC has banned former financial adviser Nicole Niu from providing financial services and controlling an entity that carries on a financial services business.
WealthHub Securities Limited, an online broker owned by National Australia Bank (NAB), has been fined $1.055 million by the Markets Disciplinary Panel (MDP).
The Federal Court has ordered that First Mutual Private Equity Pty Ltd and the unregistered managed investment scheme operated by it and Gregory Raymond Cotton be wound up.
ASIC has applied to the Supreme Court of New South Wales to wind up Capital Guard AU Pty Ltd on just and equitable grounds.
ASIC has cancelled the Australian financial services (AFS) licence of CAIP Services Pty Ltd effective from 8 July 2026.
ASIC has cancelled the Australian financial services (AFS) licence of contracts for difference (CFD) issuer Trive Financial Services Australia Pty Ltd.
ASIC has made interim stop orders against two products offered under the Australian Fixed Income Fund (Fund) operated by Stratfund Limited.
ASIC has cancelled the Australian Financial Services (AFS) licence of Capital Guard AU Pty Ltd.
ASIC is suing Paul Chiodo, Ilya Frolov, and Mark Yorston, former directors of Keystone Asset Management Ltd.
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