Ascent Investment and Coaching, ASIC, featured, Michael Dunjey
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Director of Ascent Investment and Coaching Pty Ltd, Michael Dunjey of Hampton, Victoria, appeared at the Perth Magistrates Court on 9 May 2025.
ASIC, featured, Macquarie Bank
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The compliance failures relate to Macquarie’s futures dealing business and its over-the-counter (OTC) derivatives trade reporting.
ASIC has issued an order to permanently ban former Western Australia based financial adviser, Neville Allan Kendrick.
ASIC, CSLR, featured, Viridian Equity
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ASIC has cancelled the Australian financial services (AFS) licence of Viridian Equity Group Pty Ltd.
ASIC, DOD Bookkeeping, featured
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The advice provided was “cookie cutter” and failed to take into account each client’s individual circumstances or objectives.
AFS licence, ASIC, Block Earner, featured
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Block Earner did not need a financial services licence to offer its digital asset-related Earner product.
AFS licence, ASIC, Beacon Wealth, featured
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ASIC has suspended Australian financial services (AFS) licence number 239 946, held by Beacon Wealth Pty Ltd.
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.
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