Former director of Reiwa-Capital pleads guilty to dishonest conduct, following ASIC investigation
The former director of Reiwa-Capital, Russell Sandiford, has pleaded guilty to two counts of dishonest conduct in relation to a financial product.
The former director of Reiwa-Capital, Russell Sandiford, has pleaded guilty to two counts of dishonest conduct in relation to a financial product.
The Australian Federal Court has found fintech company Block Earner engaged in unlicensed financial services conduct.
ASIC has cancelled the Australian financial services licence (AFSL) held by Sydney-based Brava Capital Pty Ltd.
Australia’s Federal Court has ordered Brite Advisors Pty Ltd be wound up on just and equitable grounds following an application by ASIC.
ASIC has made interim stop orders on four product disclosure statements (PDSs) for classes of units of the Shield Master Fund.
Financial advisers that are not registered with ASIC before 16 February 2024 will need to cease providing personal advice to retail clients.
ASIC has accepted a court enforceable undertaking from buy now, pay later provider Elevare Pay Easy Pty Ltd, trading as Elepay.
ASIC has published a letter to market intermediary CEOs setting out its guidance regarding pre-hedging practices in Australia.
Westpac will pay a penalty of $1.8 million in relation to the conduct, together with $8 million for ASIC’s litigation and investigation costs.
ASIC has filed a contempt application in the Federal Court against Joshua David Fuoco, the former director of Wealth & Risk Management Pty Ltd.