ASIC has filed a contempt application in the Federal Court against Joshua David Fuoco, the Melbourne-based former director of Wealth & Risk Management Pty Ltd. On 5 February 2018 Mr Fuoco was ordered by the Federal Court not to carry on, or be involved in, a financial services business for ten years. ASIC alleges that …
ASIC seeks contempt of court orders against Joshua David Fuoco Read More »
Former corporate adviser Cameron Waugh has pleaded guilty at the Stirling Gardens Magistrates Court to insider trading in relation to the gold exploration and mine development company Genesis Minerals Limited. ASIC alleged that over a seven day period from 14 – 21 September 2021, Mr Waugh applied to acquire, and did subsequently acquire, 747,626 shares …
West Australian man Cameron Waugh pleads guilty to insider trading Read More »
ASIC is implementing the Government’s amendments to the approved principles for the administration of the financial adviser exam that were registered on 18 January 2024. The amendments: remove the short answer questions from the exam and increase the number of multiple-choice questions; and remove the requirement limiting exam participation to new financial advisers who have …
ASIC incorporates legislative changes to the financial adviser exam Read More »
Former company secretary of Continental Coal Limited (in liquidation), Jane Rosemary Flegg, has pleaded guilty to three criminal charges following ASIC’s investigations into Continental Coal and Citation Resources Limited. On 17 January 2024, Ms Flegg pleaded guilty in the Stirling Gardens Magistrates Court to: one count of stealing approximately $2.2 million of applicant funds from …
Former Continental Coal Company Secretary pleads guilty Read More »
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