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Showing 51 - 60 of 786 results for "Australian Financial Services"

ASIC bans financial adviser for five years

ANDREW MCKEAN  |  FRIDAY, 20 MAY 2022
... behalf of clients and used managed discretionary accounts. However, Guan nor his company held an Australian financial services (AFS) licence. For part of that period, Guan was an authorised representative of an AFS licensee but his authorisation didn't ...

ASIC suspends Dixon Advisory AFSL

ELIZABETH MCARTHUR  |  TUESDAY, 19 APR 2022
ASIC has suspended the Australian financial services licence of embattled Dixon Advisory & Superannuation Services. The regulator's move follows the appointment of Stephen Graham Longley and Craig David Crosbie as joint administrators to Dixon Advisory ...

Man Group hires from PIMCO

CHLOE WALKER  |  WEDNESDAY, 9 MAR 2022
... Hersh Gandhi, managing director, Asia ex-Japan. "Rohit's significant experience and knowledge of the Australian financial services landscape are fantastic assets for our team, and we are really pleased to have someone of his calibre on board," Gandhi ...

Bell Financial Group in AUSTRAC probe

JAMIE WILLIAMSON  |  THURSDAY, 17 FEB 2022
... system and the Australian community from criminal threats, AUSTRAC chief executive Nicole Rose said. "Australian financial services businesses have a responsibility to ensure they devote the necessary resources and processes to comply with their AML/CTF ...

Proxy advice reforms defeated

RACHEL ALEMBAKIS  |  FRIDAY, 11 FEB 2022
... Advice) Regulations 2021 started on February 7, and required all proxy advisers to gain a new type of Australian Financial Services Licence (AFSL) and will be required to share their recommendations on a company with the company on the same day it provides ...

New trading platform to enter Australia

ELIZABETH MCARTHUR  |  TUESDAY, 21 DEC 2021
... company will position itself locally as a premium online trading platform. It has been granted an Australian Financial Services Licence by ASIC. Moomoo offers a free online account and says an account can be opened in minutes. It differentiates itself ...

Marketech partners with Chi-X Australia

CHLOE WALKER  |  MONDAY, 29 NOV 2021
... opening access to these products to all Australian investors," Jokovic said. "The future of the Australian financial services sector will be forged on using technology to solve pain points for investors. "Two technology-focused companies like Chi-X Australia ...

ASIC cancels AFSL of Future Asset Management

ELIZABETH MCARTHUR  |  FRIDAY, 12 NOV 2021
... stripped Future Asset Management International of its licence to operate. ASIC cancelled the firm's Australian financial services licence because it is in liquidation. Future AM International is the responsible entity for Future Asset Holding Fund, Future ...

Carolyn Colley joins Milford board

ELIZABETH MCARTHUR  |  THURSDAY, 30 SEP 2021
... been appointed to Milford Asset Management's board as a director, bringing more than 30 years of Australian financial services sector knowledge. Colley was previously head of personal banking at Macquarie Group, chief operating officer of wealth management ...

ASIC provides licensing update

ELIZABETH MCARTHUR  |  THURSDAY, 16 SEP 2021
ASIC has released its annual report on the number of Australian financial services licences (AFSLs) and Australian credit licences (ACLs) applied for and approved - revealing an increase in applications. The regulator revealed that between July 2020 ...