ASIC
Latest news | 9 Dec 25
ASIC takes legal action against unlicensed Spice Capital Partners
The regulator claimed Spice Capital and Adelaide-based Oxlade provided financial advice without a licence
ASIC reprimands four advisers over CPD failures
A panel decided to give four advisers reprimands, while taking no action against a fifth adviser
Latest news | 27 Oct 25
ASIC obtains court order to ban adviser linked to collapsed Shield and First Guardian master funds
Ferras Merhi is alleged to have engaged in unconscionable conduct
Investment | 21 Oct 25
ASIC bans Melbourne-based adviser over unsuitable investments
ASIC found that Spooner gave inappropriate advice to some clients to invest in high-risk investments
Uncategorised | 23 Sep 25
Adviser disqualified for unlicensed financial services and misleading statements – ASIC
Firm claimed it held intangible assets of $1.02bn when the balance sheet only actually recorded $11,180 – ASIC report