Search Results | Showing 91 - 100 of 139 results for "Australian Financial Services License" |
| | An independent Sydney-based private investment bank has had its Australian financial services license suspended for failing to lodge financial statements. Far East Capital Limited specialises in the resources sector in the junior end of the market and ... |
| | | Banned South Australian financial adviser, Trevor Wayne Carll, is facing 28 charges from ASIC, including deception, with a possible jail time of ten years for each offence. Carll, of Port Pirie, South Australia, was banned from the industry in February ... |
| | | Financial services licensees must effectively monitor business models for possible conflicts of interest and prioritise training and supervision of advisers, said ASIC, as part of plans to raise standards in the advice industry and hold gatekeepers ... |
| | | ... to his home, providing material support to a potential competitor who was applying for an Australian financial services license (AFSL) and possession of pornographic material on his work computer. Burns disagrees with the board's conclusion, stating ... |
| | | The Australian Securities & Investments Commission (ASIC) is stepping up its scrutiny on issuers of over the counter (OTC) derivatives, in order to safeguard the investments of a rising retail client base. ASIC has released a consultation paper seeking ... |
| | | ... would appeal against the decision. She said while Protection & Collection had never held an Australian financial services license, they did not need one as they were only marketing products on behalf of Qsure Insurance Brokers who did have one. "We have ... |
| | | ... platforms," said Gale at a media briefing this morning. Count will apply for an additional Australian Financial Services License (AFSL) for product and service offerings and to be the RSE for superannuation offerings through APRA. "As a result, we will ... |
| | | ... actions of Australian Securities and Investigation Commission (ASIC) to revoke the manager's Australian Financial Services license in August last year, only to have it reinstated when the manager appealed the decision in September. "The reason ASIC wanted ... |
| | | ... Vafiadis, previously of Hobart, has been charged for running an advice business without an Australian Financial Services license. Vafiadis appeared in the Hobart Magistrates' Court charged with two counts of carrying on a financial services business ... |
| | | ... practices must not have any ownership from a financial institution and operate their own Australian Financial Services License. |
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