ASIC bans former director of Theta Asset Management for four years LeapRate

ASIC bans former director of Theta Asset Management for four years

Marie’s ban is connected to five defective Product Disclosure Statements (PDSs) for the SIT, under which a total of $16,710,669 was raised from retail investors from 20 May 2016 to 1 May 2018. ASIC had previously commenced civil penalty proceedings against Theta issuing the defective PDSs. ASIC found that Marie failed to comply with his…

January 24, 2020 BY Steffy Bogdanova

ASIC suspends AFS licenses of several financial services providers

The Australian Securities & Investments Commission (ASIC) announced yesterday the suspension of the Australian financial services (AFS) licenses of financial services providers Theta Asset Management, Valuestream Investment Management and Global Merces Funds Management. Theta Asset Management Ltd and Valuestream Investment Management Ltd’s licenses have been suspended until 21 July 2020 because two entities are under…

Tag: Theta Asset Management

ASIC bans former director of Theta Asset Management for four years

ASIC suspends AFS licenses of several financial services providers

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