THETA ASSET MANAGEMENT

Financial planning

Former dealer group Libertas Financial Planning has given notice to AFCA to cease membership of the body’s external dispute resolution scheme, meaning victims will no lon...

Policy & Regulation

As three directors face multiple criminal charges for their involvement in Sterling Income Trust, four years after it collapsed, Money Management reflects on Sterling’s t...

Financial planning

Robert Patrick Marie has been banned by the corporate regulator for four years from providing any financial services....

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Financial planning

The liquidated firm’s managing director, Robert Marie, has been ordered by the Federal Court to pay $100,000 after he and the firm were found to have issued five defectiv...

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Funds management

ASIC has issued a stop order on Product Disclosure Statements issued by Theta Asset Management due to concerns regarding inadequate disclosure of risks....

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MARKET INSIGHTS

PETER JOHNSTON- AIOFP

Well done Keith and Neil, these Canberra Bureaucrats need to be stopped. ...

23 hours 17 minutes ago
JOHN GILLIES

WHEN I RETIRED A LOT OF GUY'S WERE STILL PRACTICING FORMS OF COLD CALLING. There nothing wrong with it as a way of estab...

1 day 23 hours ago
JOHN GILLIES

I thought you joined a dealer to be protected and have a better version of regulation explained, BUT The dealers themsel...

1 day 23 hours ago

ASIC has cancelled the AFS licence of a Sydney wealth firm, the fifth Sydney firm to see a cancellation since the start of the year....

1 week 2 days ago

A former financial adviser has been banned by ASIC from providing financial services for inappropriate advice, among multiple breaches....

3 weeks 3 days ago

ASIC has suspended the AFS licence of a Melbourne fund manager responsible for six managed investment schemes....

2 weeks 3 days ago