Australian Court orders Westpac to pay $1.8M for unconscionable conduct for interest rate swap
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.
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.
The Australian Securities and Investments Commission (ASIC) has cancelled the Australian financial services (AFS) licence of Indie Advice.
Queensland company Penta Capital Pty Ltd has agreed to pay $53,280 to comply with four infringement notices issued by ASIC.
The Australian Securities and Investments Commission (ASIC) has urged AFS licensees to register their financial advisers.
Australian Federal Court has fined four current and former directors of Endeavour Securities (Australia) Ltd and Linchpin Capital Group Ltd.
Prospero Markets is an Australia based broker which services mainly Chinese speaking clients, both in Australia and across the Far East.
ASIC has banned Mark Andrew Cooper of Seven Hills, Queensland from providing any financial services for a period of seven and a half years.
The Australian Securities and Investments Commission (ASIC) has permanently banned Delan Pagliaccio from providing any financial services.
Everblu will cease offering financial services to new clients and apply for cancellation of its Australian financial services (AFS) licence.