Unauthorised firm – Thomas and Ward Advisors LLC Address: 42 Beaver Street, New York, UNITED STATES OF AMERICA, 10004 Telephone: + 1 917 475 0003, + 1 205 555 5000 Fax: +1 917 970 8338 Email: [email protected], [email protected] Website: www.thomasandward.com Be aware that some firms may give out other details or change their contact details …
A recent review by ASIC found Australian equity markets continue to operate with a high degree of integrity. Report 623 Review of Australian equity market cleanliness: 1 November 2015 to 31 October 2018 examines market cleanliness for the period, with a focus on insider trading and information leaks ahead of material market announcements. It extends …
Review upholds Australian equity market’s record for cleanliness Read More »
ASIC has requested that exchange market operators do not admit any managed funds that do not disclose their portfolio holdings daily and have internal market makers while it undertakes a review during the remainder of this calendar year. Internal market making occurs when a managed fund’s responsible entity acts as the market maker for its …
ASIC implements pause on admission of managed funds with internal market makers Read More »
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 »
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