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Director's “Cavalier Attitude” Leads to 10-Year ASIC Ban, License Loss
- ASIC bans United Global Capital director for a decade and cancels company's license due to misconduct.
- The regulator found that UGC engaged in deceptive practices and failed to meet licensee obligations.
Wednesday, 31/07/2024 | 06:56 GMT by
Damian Chmiel
Australian Securities & Investments Commission Bans Financial Adviser for 5 Years
- Walter Yaolong Guan has been banned from providing financial services.
- During the ban, Guan will not be able to control any entity that is involved in the financial services business.
Thursday, 19/05/2022 | 07:19 GMT by
Bilal Jafar
Crypto.com Receives an Australian Financial Service License
- The company secured an AFS license through the acquisition of the Card Group.
Wednesday, 02/12/2020 | 10:02 GMT by
Bilal Jafar
ASIC Further Suspends the AFSL of Former Stockbroker BBY
- The AFS licence has been suspended until the 30th of June 2021.
Thursday, 04/06/2020 | 03:07 GMT by
Celeste Skinner
ASIC Cancels AFS License of Australian Golden Securities
- The cancellation is effective from the 21st of May 2020.
Monday, 01/06/2020 | 03:02 GMT by
Celeste Skinner
ASIC Cancels AFS License of Olive Financial Markets
- Olive has appealed the decision with the Administrative Appeals Tribunal.
Tuesday, 05/05/2020 | 06:19 GMT by
Celeste Skinner
ASIC Cancels AFS Licence of FX Trading Provider FS Securities
- The license cancellation took effect on the 5th of March 2020.
Friday, 03/04/2020 | 08:45 GMT by
Celeste Skinner
ASIC Cancels AFS License of Financial Options Pty Ltd
- The company’s license was suspended in August of 2019.
Tuesday, 25/02/2020 | 08:16 GMT by
Celeste Skinner
AFCA Warns Berndale Clients Recovery of Funds is Unlikely
- Berndale had its AFS license canceled in November of 2018.
Friday, 14/02/2020 | 08:23 GMT by
Celeste Skinner
ASIC Extends Halifax AFS License Suspension to January 2021
- The suspension was previously meant to expire on January 10, 2020.
Tuesday, 07/01/2020 | 08:33 GMT by
Celeste Skinner
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