Search Results | Showing 1 - 10 of 770 results for "AFSL" |
| | ... Securities Identification Numbers (ISINs), Australian business numbers (ABNs) and Australian financial services licence (AFSL) numbers, as well as imitating investment maturity dates, coupons and credit ratings. Scammers also use online advertisements ... |
| | | The Australian Securities and Investments Commission (ASIC) has cancelled the Australian Financial Services Licence (AFSL) of JB Markets effective from 12 April 2024. ASIC said JB Markets failed to comply with the financial requirements of its AFSL ... |
| | | ... of sections 911A of the Corporations Act by providing financial services without an Australian Financial Services Licence (AFSL). ASIC is also seeking interim and final injunctions against the NGS companies to prevent them from providing financial services ... |
| | | ... Lanterne Fund Services, alleging that between March 2019 and October 2021 it failed to comply with six of the obligations of AFSL holders. ASIC's beliefs were backed by the Federal Court, which found Lanterne failed to have adequate risk management systems ... |
| | | ... following an application by the corporate regulator. ASIC has been investigating Prospero Markets for non-compliance with its AFSL conditions and obligations as an OTC derivatives issuer. The regulator said it has been contacted by Prospero Markets clients ... |
| | | ... standpoint. One key issue is whether individuals and entities who provide aged care financial advice need to be authorised under an AFSL and comply with financial advice laws, regulations, and ethical codes. Aged Care Steps director Louise Biti said ... |
| | | ... unlicensed. In addition, ASIC said he held out that Panacea Capital was authorised under an Australian Financial Services Licence (AFSL) when this was not the case. ASIC found Creigh provided fact sheets to investors to induce them to invest in the Crypto ... |
| | | ... Court will be on April 19. On 21 February 2023, Sipina was charged with carrying out a financial services business without an AFSL. At the time of the offense, the maximum penalty for this crime was a fine of $34,000, a prison sentence of two years ... |
| | | ... pointed out that Hostplus misled the government in its submission, which stated that Employment Hero does not have appropriate AFSL arrangements despite knowing that it does. In its response to the consultation, Rest also called for a ban on commercial ... |
| | | ... priority" and that the best way to secure the efficient return of funds to clients is to appoint liquidators. Prospero's AFSL enabled it to issue and make a market in derivatives and foreign exchange contracts, deal in derivatives and foreign exchange ... |
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