Search Results | Showing 81 - 90 of 1194 results for "Licence" |
| | | ... of investor money he spent for himself. A further two offences of carrying on a financial services business without a licence will also be considered by the Court, ASIC said. Following an ASIC investigation, Kamkolkar was found to have obtained nearly ... |
| | | | ... leaves Australian retirees in the cold. "This is not just a matter of principle, it is a matter of maintaining the social licence that underpins one of our most substantial economic institutions," he added. Meanwhile, Treasurer Jim Chalmers said the ... |
| | | | Insignia Financial recorded a 67% increase in net profit after tax for the first half, while also seeing a drop in its funds under management and administration of $5.5 billion. Reported to the ASX today, Insignia's NPAT was $45.1 million, a significant ... |
| | | | A director of the now defunct financial services firm has been convicted of managing a corporation and fined $6000. Joshua David Fuoco pleaded guilty to the charges in the Melbourne Magistrates Court. The charge arose from an ASIC investigation that ... |
| | | | ... unless they elect otherwise. The notice sent to members coincided with Diversa have additional conditions placed on its RSE licence by APRA, with the regulator flagging serious concerns about its ability to manage risks and deliver quality outcomes for ... |
| | | | ... financial services for four years after discovering his business leased an algorithmic trading program and operated without a licence. Gregory William Finerty, the sole director of Bradford AI, has been handed down the penalty following the hiring of ... |
| | | | The regulator has placed additional conditions on the trustee's RSE licence, flagging serious concerns with Diversa's ability to manage risks and deliver quality outcomes for members. APRA explained that the new conditions are designed to address ... |
| | | | ... managed discretionary account (MDA) service and a superannuation rollover business. In March 2020, ASIC cancelled the AFS licence of the Gold Coast-based financial services business following concerns it had breached several of its legal obligations ... |
| | | | ... insurance through their super fund. The standard applies to FSC super members who hold a public or extended public offer licence to operate a RSE under the Superannuation Industry (Supervision) Act 1993. Australian Ethical Investment, BT Financial Group ... |
| | | | ... Act," ASIC stated. "We consider that financial advisers can advise on the Scheme without requiring an Australian Credit Licence (ACL), notwithstanding their functional equivalence to reverse mortgages that are regulated under the National Credit Act." ... |
|
