Search Results | Showing 61 - 70 of 1081 results for "AFS" |
| | ASIC permanently banned a financial adviser who has been advising for 34 years after an investigation found, among other violations, that he misappropriated funds and dealt in derivatives without the proper authorisations. Donald James Cuthbertson ... |
| | | The Financial Services and Credit Panel reprimanded a financial adviser who inadequately assessed the consequences of rolling over superannuation and life insurance cover, labelled the panel's least serious disciplinary action yet. Keeping the adviser's ... |
| | | The government opened fresh consultation on its plans to introduce new licensing exemptions to foreign financial services providers. Treasury has opened consultation on Treasury Laws Amendment (Measures for Future Bills) Bill 2023: Licensing Exemptions ... |
| | | ASIC's latest action against Vanguard for allegations of greenwashing in a bond fund raises the question of whether the market regulator will crack down on index providers and other third-party service providers for greenwashing as well. Last month ... |
| | | ... operating since 2012. It added a compliance manager in January of this year, followed by a risk and compliance manager in April. "AFS licensees are responsible for ensuring their representatives comply with financial services laws. ASIC expects licensees ... |
| | | 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 ... |
| | | ASIC is suing the operator of several unregistered managed investment schemes that, among other investors, targeted SMSF members. Sasha Hopkins, director of The A Team Property Group, is facing civil action for alleged unlicensed conduct and running ... |
| | | ASIC has cancelled the Australian financial services licence of embattled crypto company FTX. The regulator explained that until 12 July 2024 the company may provide limited financial services that relate to the termination of existing derivatives with ... |
| | | Financial advice firms AMP Financial Planning, Synchron, and Charter farewelled the largest number of advisers, dragging down the total population to 15,708 from 16,415 at the end of the 2023 financial year. Rainmaker analysis of ASIC's Financial Adviser ... |
| | | The listed wealth group will acquire and merge the businesses of Castle Corporate and Castle Legal for $3.15 million. Castle Corporate assists accountants, financial advisers, and lawyers with the formation of companies, trusts, and self-managed super ... |
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