Warnings

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ASIC recalibrates its regulatory priorities to focus on COVID-19 challenges

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In coordination with the Council of Financial Regulators, ASIC will focus its regulatory efforts on challenges created by the COVID-19 pandemic. Until at least 30 September 2020, the other matters that ASIC will afford priority are where there is the risk of significant consumer harm, serious breaches of the law, risks to market integrity and …

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AMP Life and AMP Capital pay penalties in relation to trade reporting rules

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AMP Life Limited (AMP Life) has paid a penalty of $275,500 and AMP Capital Investors Limited (AMP Capital) has paid a penalty of $250,500 to comply with infringement notices issued by ASIC. ASIC issued the infringement notices as it considers there are reasonable grounds to believe there were breaches of the ASIC Derivative Transactions (Reporting) …

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ForexBit

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Unauthorised firm – ForexBit Address: 33 Canada Square, Canary Wharf, London, UNITED KINGDOM, E14 5L Telephone: +4 4 20 3966 6292; +44 20 3966 4727 Email: [email protected] Website: www.forexbit.com; https://www.forexbit.co/ Other Information: Telephone: +44 20 8089 8541; +44 208 089 8074 Email: [email protected]; [email protected] Websites: https://www.forexbit.live Be aware that some firms may give out other …

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GCG24 / Global Consulting Group

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Unauthorised firm – GCG24 / Global Consulting Group Address: Suite 305, Griffith Corporate Centre, Box 1510, Beachmont, Kingstown, ST. VINCENT AND THE GRENADINES Telephone: 1772368050 Email: [email protected] Website: www.gcg24.com Be aware that some firms may give out other details or change their contact details over time to new email addresses, telephone numbers or physical addresses.

FTEFX

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Unauthorised firm – FTEFX Address: c/o Suite 305, Griffith Corporate Centre, Beachmont, Box 1510 Kingstown, St. Vincent and the Grenadines, ST. VINCENT AND THE GRENADINES Telephone: +4 475 2066 5025 Email: [email protected] Website: https://ftefxpro.com Be aware that some firms may give out other details or change their contact details over time to new email addresses, …

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Former financial advisor pleads guilty to dishonest conduct

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On 4 March 2020, Mr Mark Damion Kawecki, of Frankston Victoria, appeared at the Melbourne Magistrates’ Court and pleaded guilty to two counts of dishonest conduct in relation to attempts to satisfy the minimum spread requirement for companies seeking to be admitted to the ASX. This is the first prosecution of its kind. Under the …

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Pre-insolvency adviser imprisoned for money laundering

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Former pre-insolvency adviser Stephen O’Neill has been sentenced at Brisbane District Court to five years in prison with a non-parole period of 22 months, after pleading guilty to one charge of dealing in the proceeds of crime. In October 2014, Mr O’Neill, along with John Narramore of SME’s R Us Pty Ltd, advised Richard Ludwig, …

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Private Wealth Management LLP

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Unauthorised firm – Private Wealth Management LLP Address: St Mary’s Court, 20 Hill Street, Douglas, ISLE OF MAN, IM1 1EU Telephone: +4 4 (0)80 0689 3506 Email: [email protected] Website: www.privatewealthltd.com Other Information: Please note that the Isle of Man Financial Services Authority has also issued an alert regarding this unauthorised firm at https://www.iomfsa.im/fsa-news/2020/feb/private-wealth-management-llp/. Be aware …

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