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CANCELLATION
Financial planning
ASIC has shared data on its licensing activity during the 2023–24 financial year, including how many were cancelled or suspended....
Financial planning
ASIC has permanently banned a Sydney financial adviser and cancelled the license of his business after he misappropriated investor funds....
Policy & Regulation
ASIC has changed the status of the AFS licence for two financial services groups, one of which had its director banned in October over his refusal to pay AFCA determinati...
Financial planning
Frederick Ackerman has been banned by the corporate watchdog for four years and the advice firm he was an authorised representative of, Pure Strategy, had its licence can...
Policy & Regulation
The Australian Securities and Investments Commission has broken new ground cancelling the licenses of two accounting firms for failing to obtain membership of the Austral...
Financial planning
The Australian Securities and Investments Commission has cancelled the AFS licence of Austplan, effective from 25 November....
Financial planning
The Administrative Appeals Tribunal (AAT) has affirmed ASIC’s licence cancellation for Mark Power and associated companies....
Financial planning
The corporate regulator has cancelled the AFSL of mortgage scheme responsible entity, DD&D Securities for failing to comply with obligations....
Financial planning
ASIC has cancelled the AFS licence of a Sydney-based firm, Core Insurance, for failing to lodge financial statements and auditor reports. ...
Policy & Regulation
ASIC has cancelled Lotus Securities AFSL after it breached several of its key obligations. ...
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Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...
It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...