ASIC has banned Holly Marie Grofski, the director of Global Merces Funds Management Ltd (Global Merces), for a period of six months. ASIC’s banning order prohibits Ms Grofski from controlling, whether alone or together with others, any company or other entity that carries on a financial services business until 28 October 2021. An ASIC surveillance …
ASIC bans director of Global Merces Funds Management Ltd Read More »
Mr Ross Andrew Hopkins of Killara, NSW, has been sentenced in the District Court of New South Wales to a maximum period of six years’ imprisonment, with a non-parole period of four years. Following an ASIC investigation, Mr Hopkins, a former financial adviser, was convicted of 15 dishonesty offences under the Corporations Act, committed when …
Former Sydney financial adviser sentenced to six years imprisonment Read More »
Mr Alexander McCulloch, a former project manager at Beacon Minerals Limited (Beacon Minerals) and Mr Darryl Brian Mapleson, who provided geological services to the company, have both appeared in the Perth Magistrates’ Court today charged with insider trading. Mr McCulloch has been charged with two counts of insider trading after allegedly encouraging two associates to …
Unauthorised firm – Citi Finances Address: 480 Commercial Road, Limehouse, London, E1 0NE Telephone: 02032897233 Email: [email protected] Website: www.citifinances.co.uk 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 – Key Markets Limited Address: Ajeltake Road, Ajeltake Island, Majiro, MARSHALLS ISLAND, MH96960 Telephone: 02035146751 Email: [email protected], [email protected] Website: www.key-markets.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.
Regional Express Holdings Limited (REX) has paid a penalty of $66,000 after ASIC issued an infringement notice alleging it had not complied with its continuous disclosure obligations. ASIC found there are reasonable grounds to believe that REX was in breach of its continuous disclosure obligations from 11 May 2020 to 12 May 2020 by failing …
REX pays $66,000 penalty for alleged continuous disclosure breach Read More »
Unauthorised firm – Solutions Markets Address: Intershore Chambers, Road Town, Tortola, VIRGIN ISLANDS (BRITISH) 290 Moston Lane, Manchester, UNITED KINGDOM, M40 9WB Telephone: 02073203030, 03455342678, 01743821321 Email: [email protected], [email protected], [email protected] Website: www.solutionsmarkets.co Be aware that some firms may give out other details or change their contact details over time to new email addresses, telephone numbers …
Unauthorised firm – Tax Free Bond Website: http://www.taxfreebond.net/ 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 cancelled the Australian credit licence (ACL) of Dominique Grubisa’s company Master Wealth Control Pty Ltd (Master Wealth Control), effective from 5 May 2021. ASIC cancelled the ACL on the basis that Master Wealth Control has not engaged in the credit activities authorised by its credit licence. Since 18 February 2020, the National Consumer …
ASIC cancels Master Wealth Control’s Australian Credit Licence Read More »
Unauthorised firm – Margin Bank Email: [email protected] Website: www.marginworldwide.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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