Unauthorised firm – Westford Trust Credit Union Address: 13 Orchard Ct, Newtownards, UNITED KINGDOM, BT23 7AF Telephone: 7520660334 Email: [email protected] Website: https://westfordtrustcreditun.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.
ASIC has released an immunity policy for certain contraventions of the Corporations Act, which includes serious offences such as market manipulation, insider trading and dishonest conduct in the course of carrying on a financial services business. Under the new policy, an individual who has engaged with others to manipulate the market, commit insider trading or …
ASIC launches immunity policy for market misconduct offences Read More »
Mr Zhonghan Wu, also known as John Wu, former chief financial officer of Traditional Therapy Clinics Limited (TTC), appeared before the District Court of NSW on 19 February 2021, after previously entering a plea of guilty to market manipulation and fraud offences. ASIC alleges that between 8 September 2015 and 30 November 2015, Mr Wu …
Former CFO appears in court following guilty plea Read More »
Unauthorised firm – Top Bond Invest Address: Kemp House, 160 city road, LONDON, ECiV 2NX Email: [email protected] Website: topbondinvest.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.
ASIC has imposed additional conditions on the Australian financial services (AFS) licence of Poynter Hargraves Financial Consultants Pty Ltd (Poynter Hargraves). This follows a targeted surveillance by ASIC that found Poynter Hargraves had poor risk controls around conflict management and was not adequately monitoring and supervising its representatives. ASIC’s surveillance also found that some clients …
Unauthorised firm – Falcon Investment Consulting Group Address: Starrett-Lehigh Building, 601 W 26th Street, New York, NY, UNITED STATES OF AMERICA, 10001 Telephone: +1 516 927 7743, +1 914 240 8155, +0 208 819 7066 Fax: +1 914 462 3566 Email: [email protected] Website: www.falconinvestmentconsultinggroup.com Be aware that some firms may give out other details or …
Unauthorised firm – Brode Capital Partners Address: 50 Stratton Street, London, UNITED KINGDOM, W1J 8LL 9, Allée Scheffer, LUXEMBOURG, L-2520 Telephone: +4 4 20 346 89653 Email: [email protected] Website: https://brodecp.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 …
ASIC has cancelled the Australian Credit Licence of Melbourne-based Australian Golden Securities Pty Ltd (Australian Golden Securities) (formerly AFS Capital Securities Ltd), effective 25 January 2021. ASIC cancelled the licence on the basis Australian Golden Securities did not engage in the credit activities authorised by the licence. Under the National Consumer Credit Protection Act 2009 …
ASIC cancels credit licence of Australian Golden Securities Pty Ltd Read More »
Unauthorised firm – Safe bond Address: 24 The annexe, 98 Goldstone Villas, BN3 3RU Telephone: 2039835035 Email: [email protected] Website: fixedreturn.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.
The additional licence conditions imposed on Pershing Securities Australia Pty Ltd (PSAL) in December 2019 have been removed as of 14 December 2020. These conditions required PSAL to appoint an independent expert to conduct a review to assess and report on whether PSAL has the current and ongoing ability to comply with the client money …
Pershing Securities Australia Pty Ltd fulfills additional licence conditions Read More »
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