ASIC

ASIC Imposes Licence Conditions on Kaz Capital

ASIC has imposed additional conditions on the Australian Financial Services licence of Kaz Capital Pty Ltd (Kaz). ASIC is concerned with the adequacy and effectiveness of Kaz’s compliance framework, including how it monitors its advisers…

ASIC

AAT Upholds ASIC’s Decision to Refuse AFS Licence

The Administrative Appeals Tribunal (AAT) has affirmed ASIC’s decision to refuse Michael David Watson an (Australian Financial Services) AFS licence. On 21 December 2018, the AAT found Mr Watson did not provide all the relevant…

ASIC

ASIC Bans Two Former Macquarie Advisers for 10…

ASIC has banned Mark Alexander Landau of Balmain, New South Wales (formerly of Toorak Gardens, South Australia) and Marcus Roderick Campbell of South Brighton, South Australia from providing financial services for 10 years. The decisions…