ASIC secures Court order to wind up Capital Guard
ASIC has successfully sought Court orders to wind up Capital Guard AU Pty Ltd and appoint independent liquidators to take control of the company.
ASIC
ASIC bans former NextGen Financial Group directors Nicholas Brookes and Vitorio Turco for three years
ASIC has banned former NextGen Financial Group Pty Ltd directors Nicholas Duncan Jeremy Brookes and Vitorio Vincenzo Turco.
Australian regulator suspends AFS licence of Prime Value Asset Management Limited
The Australian Securities and Investments Commission (ASIC) has suspended the Australian financial services (AFS) licence of Prime Value Asset Management Limited.
ASIC cancels licence of Australian Fiduciaries Limited
ASIC has cancelled the Australian financial services licence (AFS licence) of Australian Fiduciaries Limited.
ASIC bans former MWL financial adviser Nicole Niu for five years
ASIC has banned former financial adviser Nicole Niu from providing financial services and controlling an entity that carries on a financial services business.
NAB’s WealthHub pays fine of over $1M for reporting failures
WealthHub Securities Limited, an online broker owned by National Australia Bank (NAB), has been fined $1.055 million by the Markets Disciplinary Panel (MDP).
ASIC secures Court order for winding up First Mutual Private Equity
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 applies to wind up Capital Guard over concerns about investor funds
ASIC has applied to the Supreme Court of New South Wales to wind up Capital Guard AU Pty Ltd on just and equitable grounds.
Deutsche Bank pays $2M penalty for misreporting more than 260k OTC derivative transactions
Multinational investment bank Deutsche Bank Aktiengesellschaft has paid a penalty of $2 million for misreporting more than 260,000 over-the-counter (OTC) derivative transactions.
ASIC cancels license of CAIP Services
ASIC has cancelled the Australian financial services (AFS) licence of CAIP Services Pty Ltd effective from 8 July 2026.
