Unauthorised firm – MILLENIUM GROWTH Address: San Francisco Bay area, West Coast, Western US, UNITED STATES OF AMERICA Telephone: 13126820286, +16572388154 Email: [email protected] Website: www.milleniumgrowthltd.net, www.millenniumgrowthltd.org 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.
The Federal Court has handed down the largest ever penalty against a company for breaching continuous disclosure laws, ordering GetSwift Limited (former ASX:GSW) (GetSwift) (in liquidation) pay a penalty of $15 million. The Court described Getswift as a company that ‘became a market darling because it adopted an unlawful public-relations-driven approach to corporate disclosure instigated …
Federal Court sanctions Getswift with record continuous disclosure penalty Read More »
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is today publishing its Peer Review Report on the national supervision of Central Securities Depositories (CSDs) providing cross-border services or participating in interoperable links. The peer review assessed six National Competent Authorities (NCAs) in respect of how they supervise CSDs, which …
ESMA assesses supervision of Central Securities Depositories Read More »
ASIC has warned businesses it will be targeting greenwashing, predatory lending and misleading insurance pricing promises this year, as part of a continuing focus on protecting consumers from financial harm. The warning coincides with the release of its latest enforcement and regulatory report, highlighting actions taken during the last three months of 2022, and outlining …
ASIC to expand enforcement focus areas in the coming year Read More »
The former CEO of Big Un Limited, Mr Richard Evans, also known as Richard Simon Evertz, has appeared via his lawyer in the Downing Centre Local Court charged with insider trading. ASIC alleges that Mr Evans communicated inside information about Big Un to a shareholder on or around 10 January 2017. The information concerned the …
Former CEO of Big Un Limited charged with insider trading Read More »
Trevor William King of Sydney, New South Wales, was sentenced in Parramatta Local Court on 10 February 2023 to a 14-month intensive corrections order after making false documents to obtain a financial advantage, contrary to s253(b)(ii) of the Crimes Act 1900 (NSW). Between 2 July 2013 and 12 May 2016, Mr King created 74 false …
ASIC has cancelled the Australian financial services (AFS) licence of Family Wealth Strategy Pty Ltd (489148). The licence was cancelled on the basis that Family Wealth Strategy Pty Ltd is no longer carrying on a financial services business. ASIC may cancel an AFS licence held by an individual or corporate entity if the person or …
ASIC cancels licence of Family Wealth Strategy Pty Ltd Read More »
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today publishes the first Trends, Risks and Vulnerabilities (TRV) Report of 2023. Overall, risks in ESMA’s remit remain high, and investors should be prepared for further market corrections. Verena Ross, Chair, said: “Financial markets remained remarkably stable in 2H22, despite the …
Unauthorised firm – PERFECT-INVEST.LTD Address: 231 Greenford Road, Greenford, England, UNITED KINGDOM, UB6 8QZ Website: https://perfect-invest.ltd 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.
Unauthorised firm – CAPITISFX Address: 200 Hudson Street, Jersey City, NJ, UNITED STATES OF AMERICA, 07302 Telephone: 01154960276, 01614960297 Email: [email protected], [email protected] Website: www.capitisfx.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.
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