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Showing 91 - 100 of 139 results for "Australian Financial Services License"

ASIC suspends Far East AFSL

CLAIRE MCGREAL  |  TUESDAY, 25 OCT 2011
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 adviser faces jail term

ELISE BURGESS  |  TUESDAY, 27 SEP 2011
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 ...

ASIC surveillance sharpens focus on AFS licensees

MATT WOODINGTON  |  TUESDAY, 13 SEP 2011
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 ...

Former Integrity port manager loses court bid

ELISE BURGESS  |  MONDAY, 11 JUL 2011
... 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 ...

ASIC moves to protect OTC retail investors

MATT WOODINGTON  |  TUESDAY, 10 MAY 2011
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 ...

Director to challenge ASIC ban

ALISON BEVEGE  |  FRIDAY, 6 MAY 2011
... 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 ...

Count morphs into super entity with new AFSL

ELISE BURGESS  |  THURSDAY, 5 MAY 2011
... 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 ...

Century Funds vies to take manager role from Opus

ELISE BURGESS  |  TUESDAY, 15 FEB 2011
... 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 ...

Tasmanian former adviser charged for no AFSL

MEDIA RELEASE  |  TUESDAY, 23 NOV 2010
... 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 ...

AIOFP appoints directors

MEDIA RELEASE  |  FRIDAY, 22 OCT 2010
... practices must not have any ownership from a financial institution and operate their own Australian Financial Services License.