Search Results | Showing 11 - 20 of 786 results for "Australian Financial Services" |
| | | ... investigate and file civil penalty proceedings," ASIC said. ASIC clarified that Penta Capital "is not an Australian financial services licensee or authorised representative". Its associated entities Penta Asset Management and SEQ Asset Management were ... |
| | | | ... dollar. The corporate regulator determined that Atkins, previously an authorised representative of Australian financial services licensee Guildfords Fund Management, failed to act in good faith as a director by putting investor funds at risk. ASIC said ... |
| | | | ASIC has suspended JB Markets' Australian financial services licence (AFSL), restricting the firm to only terminating existing client arrangements. The corporate regulator revoked JB Markets' AFSL due to non-compliance with financial requirements and ... |
| | | | ... Act. "Failure to lodge audited financial statements may result in cancellation of a licensee's Australian financial services (AFS) licence," it said. The ultimate penalty for each failure to lodge a profit and loss statement and balance sheet, as ... |
| | | | The government plans to mandate that crypto exchanges adhere to Australian financial services laws, requiring digital asset platform operators to obtain an AFSL. Treasury's Regulating digital asset platforms' consultation, released today, mandates that ... |
| | | | ... the next decade, we have a vision for the firm to continue developing into a leading, independent Australian financial services business." Rainmaker Information executive director, research Alex Dunnin said the move by Betashares is great news for consumers. ... |
| | | | ... derivative issuers to comply with the design and distribution obligations. There are currently over 60 Australian financial services licensees that offer complex, high-risk OTC derivatives to retail clients in the form of CFDs, crypto derivatives, options ... |
| | | | Natixis Investment Managers has expanded its Australian Financial Services Licence (AFSL) to target retail clients, affording broader access to strategies from its collective of global investment managers. Natixis IM country head of Australia and New ... |
| | | | ... paid ordinary shares, Complii said. MIntegrity was launched in 2013 and has over 100 clients in the Australian financial services sector. Complii said the acquisition will further diversify and add revenue to the group, as well as provide increased scope ... |
| | | | ... exemption. Under the professional investor exemption, a foreign provider would not need to hold an Australian financial services licence if offering services to professional investors from outside of Australia, including during limited marketing visits ... |
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