Search Results | Showing 21 - 30 of 1194 results for "Licence" |
| | | ... previous employers include Silverstone Proprietary Trading, ACY Securities, AxiTrader and City Index. Despite not having a licence to provide financial product advice, Sandiford told prospective investors that they could invest it in either a 'hedge ... |
| | | | ... relation to cryptocurrency, with fintech Block Earner found to have offered a financial product to retail investors without a licence. However, it was a mixed outcome for the regulator, with another allegation quashed. The federal court determined Block ... |
| | | | A duo who allegedly defrauded self-managed super funds (SMSF) have been charged by the Melbourne Magistrates Court with a string of criminal offences. The charges follow an ASIC investigation into the activities of Joseph Cullia and Zoran Markovic ... |
| | | | ... man has been charged with nine offences and is facing imprisonment for running a financial services business without a licence. The charges were filed after an investigation by ASIC, which discovered that Aryn Hala had made promises to customers of annual ... |
| | | | After being rebuked by ASIC for operating without an AFS Licence, iExtend is now running under a Corporate Authorised Representative (CAR) arrangement for the interim. A CAR enables iExtend to act as an agent of an AFS Licensee, meaning it is authorised ... |
| | | | ... informed the new Intelligent Planning offer and gave us the confidence to move forward with it. Key elements include a flat licence pricing model, the ability for advisers to speak directly with an internal industry expert on a peer-to-peer basis and ... |
| | | | ... of this was the regulator's action against NGS Super in December, slapping the $14 billion super fund with additional licence conditions following a cyber-attack in March 2023, first reported by Financial Standard. APRA said a significant amount of data ... |
| | | | ... and apply broadly, as companies increasingly deploy AI. "In 2022, the Federal Court found that RI Advice breached its licence obligations to act efficiently and fairly by failing to have adequate risk management systems to manage its cybersecurity risks," ... |
| | | | ... adviser movements, it is currently estimated that the rate of outflow from advisers who have transitioned to a non-Powerwrap licence will continue at a similar rate for a further six to nine months." Praemium ended 2023 with $48.3 billion in total FUA ... |
| | | | The Clean Energy Regulator has selected ASX as a partner to undertake "exploratory work" on the development of a carbon exchange to launch later this year. The carbon exchange is intended to allow for the trading, clearing and settlement of Australian ... |
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