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The Federal Court has imposed a $7.2 million penalty on Dixon Advisory and Superannuation Services Limited (Dixon Advisory) after six representatives ...

The Full Federal Court has allowed an appeal by James Mawhinney to overturn a 20-year ban restraining him from advertising investments and raising ...

Tatiana De Oliveira, also known as Tatiano De Oliveira, of Byron Bay, New South Wales, has been convicted of making a false or misleading statement ...

Charges laid against Victoria Renee Ingrid Larsen of Aberfoyle Park, South Australia, have been withdrawn. Ms Larsen was the sole director of Club ...

½ñÈÕÈÈÃÅʼþhas placed interim stop orders on the offer and distribution of two managed funds directly to retail investors in response to deficiencies in ...

Fiona Mae Bilton of Victoria has been charged with obtaining a financial advantage by deception. Ms Bilton, as Head of Operations at stockbroking ...

½ñÈÕÈÈÃÅʼþhas remade class order [CO 12/752] Financial requirements for retail OTC derivative issuers which was due to sunset on 1 October 2022.   The new ...

A recent ½ñÈÕÈÈÃÅʼþsurveillance found that some fund managers must do more to ensure the investment performance representations in their fund’s marketing ...

Van Nguyen, of North Melbourne, Victoria, has been sentenced after pleading guilty to making a false or misleading statement in a form to ASIC. Mr ...

½ñÈÕÈÈÃÅʼþhas disqualified Saleh Zreika, also known as Salem Zreika, of Villawood, NSW, from managing corporations for the maximum period of five years ...