ASIC has acted to disqualify or add conditions to the registration of a number of auditors of self-managed superannuation funds (SMSFs). The actions arose following ASIC concerns about failures to meet requirements including auditor independence standards, auditing standards, minimum continuing professional development (CPD) hours, lodging annual statements, and fit and proper person criteria. Most of …
ASIC has disqualified Justin Lee Fischer of Rose Bay, NSW, from managing companies for three years for his involvement in two failed companies. While Mr Fischer was not a nominated director of SE QLD Business Services Pty Ltd ACN 611 479 264 (SE QLD) and CCW Queensland Pty Limited ACN 607 611 610 (CCW QLD) …
ASIC disqualifies ‘deemed director’ from managing companies for three years Read More »
Unauthorised firm – Claims Assist (Bolton) Ltd Address: 300 Blackburn Road, Bolton, Lancashire, UNITED KINGDOM, BL1 8DU Telephone: 01 688570006; 01214680260; 01617680159 Email: [email protected] 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.
ASIC has released Information Sheet 240 AFS licensing – Requirements for certain applicants to provide further information (INFO 240) to provide guidance to applicants on recent changes to ASIC’s Australian financial services (AFS) licensing assessment procedures. These changes apply to: applicants that are a body corporate; applicants that are Australian Prudential Regulation Authority-regulated bodies; and …
ASIC provides new guidance for certain AFS licence applications Read More »
ASIC has today released a consultation paper proposing to provide licensing relief for foreign financial services providers of funds management services in Australia to professional investors. Consultation Paper 315 Foreign financial services providers: Further consultation (CP 315) sets out our proposal to: Provide funds management relief – foreign providers will be exempt from the requirement …
Unauthorised firm – Broker XP Address: M&A Mergers and Acquisitions Consultancy LP Agent, Suite 1, 4 Queen Street, UNITED KINGDOM, EH2 1JE Suite 2, 5 St Vincent Street, SCOTLAND, EH3 6SW 2 Lansdowne Row, London, UNITED KINGDOM, W1J 6HL Operating Address: Rackozi 54, HUNGARY, Budapest Operating Address: Algirdo g.25 , Vilnius, LITHUANIA, Vilnius Telephone: 02 …
ASIC has disqualified Lauren Darwin, Mount Gravatt, QLD from managing companies for the maximum period of five years due to her involvement in two failed companies. ASIC found that Ms Darwin: took no reasonable steps to inform herself of the duties required of a director; neglected her responsibilities as a director; failed to ensure that …
ASIC disqualifies Queensland director from managing companies for five years Read More »
ASIC has disqualified Mr Leigh Jorgensen of Cairns, QLD, from managing companies for the maximum period of five years as a result of his involvement in three failed companies. Mr Jorgensen was a former director of: A.C.N. 156 455 828 Pty Ltd – ACN 156 455 828, formerly known as North Trek Tours; Cairns Tour …
Unauthorised firm – JP Holdings LTD (clone) Address: 60 Sackville St, Manchester, UNITED KINGDOM, M1 3WE Telephone: +4 4 161 354 3528, 84901375837, +4 41205716325, +8 5265665231, +1 5267538365 Email: [email protected], [email protected], [email protected], [email protected] Website: www.jpholdings.uk Other Information: Please note that this bogus entity has no association whatsoever with the FCA firm named JH&P Holdings …
Unauthorised firm – UK Financial Management Ltd Address: Suite 147 Maxim One, First Floor 2 Parklands Way Eurocentral, SCOTLAND, ML1 4WR 10 Newton Place, Glasgow, SCOTLAND, G3 7PR 30 Stirling Road, Airdrie, Lanarkshire, SCOTLAND, ML6 7JA Telephone: 3335771916 Fax: 03 33 335 5088 Email: [email protected] Website: http://www.ukfinancialmanagement.co.uk Be aware that some firms may give out …
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