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The Administrative Appeals Tribunal (Tribunal) has amended ASIC’s decision to ban Mr Mark Schroeder from providing financial services (20:029MR).　 In

The Administrative Appeals Tribunal (AAT) has broadened ASIC’s ban on a wealth director for his involvement in numerous compliance failures at his former dealer group

ASIC slaps extended ban on collapsed firm’s managing director ASIC slaps extended ban on collapsed firm’s managing director The corporate regulator has used its enhanced banning powers to restrict the former head of a collapsed asset manager from financial services in any capacity. A A Robert Marie, the ex-managing director and responsible manager of Theta Asset Management has received the ban. He has also been banned from controlling an entity that carries on a financial services business and from performing any function involved in the carrying on of a financial services business in an...

ASIC has slapped the former managing director of a collapsed firm with a ban, prohibiting him from providing any financial services for four years.   Robert Marie, the ex-managing director and resp

Date Time Former managing director of responsible entity of Sterling Income Trust banned for four years ASIC has banned Mr Robert Patrick Marie for four years from providing any financial services. Mr Marie has also been banned from controlling an entity that carries on a financial services business and from performing any function involved in the carrying on of a financial services business in any capacity. Mr Marie was the former managing director and responsible manager of Theta Asset Management Ltd (In Liquidation) (Theta), the Responsible Entity of the Sterling Income Trust (SIT). The SI...