Search Results | Showing 51 - 60 of 772 results for "AFSL" |
| | | ... superannuation to include retail investors. This was underlined last week when the $1.2 trillion asset manager expanded its AFSL to target retail clients, affording broader access to strategies from its global asset managers. Natixis IM country head ... |
| | | | 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 ... |
| | | | ... synergies", the ASX-listed group said yesterday, as it undergoes liquidation, company deregistration, and the cancellation of its AFSL. Sequoia acquired Libertas in 2019, which at the time had 68 authorised representatives, in a bid to scale its financial ... |
| | | | Diverger's net profit after tax dropped by 24% to $2.83 million in FY23 on the back of mergers and acquisitions - something it will continue to pursue. Reporting to the ASX, Diverger announced the completion of four acquisitions and projected collectively ... |
| | | | ... Group has joined forces with Godfrey Pembroke's Practice Development Group (PDG), consolidating their operational and AFSL services to create a new entity providing back-office services to their financial advice networks. Madison signed a non-binding ... |
| | | | ... any functions in financial services as he is "not a fit and proper person" to do so. ASIC has subsequently cancelled the AFSL of PWMS with a condition that the external dispute resolution and arrangements for compensating clients remain in place for ... |
| | | | ... written reprimand," he said. A reprimand is not published on the Financial Adviser Register but is provided to an adviser's AFSL. "It's somewhat along the lines of saying, 'You didn't get this right, do better next time', and likely ... |
| | | | ... would mean those regulated by comparable regulators and providing financial services to wholesale clients would not need an AFSL. This will replace the sufficient equivalence relief which is already being transitioned out; once transitional arrangements ... |
| | | | ... finance product issuers," the spokesperson said. "ASIC's jurisdiction includes, but is not limited to, providers with an AFSL, credit licence, otherwise engaging in financial services or those who have disclosure obligations such as market participants." ... |
| | | | Financial advice firms are "problematically" sidestepping compensation payments after the Australian Financial Complaints Authority (AFCA) hands down a decision, using the excuse that they do not have professional indemnity insurance (PII). Out of 5400 ... |
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