ASIC, Falcon Capital, featured, First Guardian
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ASIC took this action as it was concerned about Falcon’s management and operation of First Guardian.
ASIC, ASIC warning, featured
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ASIC is warning consumers to remain vigilant when engaging with online investment websites and mobile applications.
ASIC, ASX, featured, RBA
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RBA and ASIC have taken further steps to address their concern over the management of operational risk at ASX.
ASIC has banned Queensland-based financial adviser Grant Richard Thomson from providing financial services.
ASIC, ASIC warning, featured
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ASIC has issued a warning about scammers impersonating the regulator requesting payments to release funds or assets.
ASIC, featured, First Guardian, Shield Master Fund
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Following an application made by ASIC, the Federal Court has made orders freezing assets of Rashid Alshakshir.
ASIC, Falcon Capital, featured, First Guardian
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ASIC has applied to the Federal Court for the appointment of liquidators to Falcon Capital Limited.
ASIC has made orders permanently banning Sydney-based financial adviser Peter Surtenich from providing any financial services.
ASIC, featured, FIIG
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FIIG Securities Limited allegedly failed to have adequate cybersecurity measures for more than four years.
Brendan Gunn, featured, Mormarkets Pty Ltd
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Brendan Gunn faces a maximum penalty at the time of the alleged offences of three years imprisonment or a fine of $37,800 or both.
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