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Showing 91 - 100 of 104 results for %22AFSL Register%22

Government clarifies adviser register funding

LAURA MILLAN  |  MONDAY, 27 OCT 2014
... that an adviser can advise on; any bans, disqualifications or enforceable undertakings and details around ownership of the AFSL and disclosure of the ultimate parent company.

Funding for the government's adviser register unclear

LAURA MILLAN  |  FRIDAY, 24 OCT 2014
... that an adviser can advise on; any bans, disqualifications or enforceable undertakings and details around ownership of the AFSL and disclosure of the ultimate parent company. When asked about the funding model for the register, Leapfrog director and ...

TPB open for TASA registration from today

LAURA MILLAN  |  TUESDAY, 1 JUL 2014
... (TPB) to comply with the Tax Agent Services Act 2009 (TASA). The TPB has sent all Australian financial services licensees (AFSL) instructions and login details to access the online notification form to register themselves and their authorised representatives. ...

TPB releases tax advice definition in YouTube video

LAURA MILLAN  |  MONDAY, 14 APR 2014
... Ian Taylor explained that tax financial advice services are those provided by an Australian Financial Services Licensee (AFSL) or their representative. It needs to be provided in the course of the broader advice process and it refers to "liabilities ...

CBA follows ASIC's lead in Senate submission

LAURA MILLAN  |  MONDAY, 18 NOV 2013
... within the financial services industry." The bank detailed that the information would be available to current and prospective AFSL holders who seek to authorise the financial planner under their AFSL. CBA also suggested that ASIC should be the sole custodian ...

ASIC urged to extend 'wet signatures' exemption

MARK SMITH  |  WEDNESDAY, 3 JUL 2013
... schemes for initial applications made through a secure electronic means where the origination of the application is via an AFSL holder such as a broker, wealth adviser or dealer group. "AMFS should not be the only party to be able to have this exemption. ...

ASIC suspends licence of LM Investment

LAURA MILLAN  |  WEDNESDAY, 10 APR 2013
The Australian Securities and Investments Commission (ASIC) has suspended the Australian financial services licence (AFSL) of LM Investment Management Limited for two years following the company's voluntary administration. The AFSL suspension allows ...

Family office tech suitability highlighted

MELANIE TIMBRELL  |  WEDNESDAY, 25 JUL 2012
... likely to take a dim view of member registers cobbled together on spreadsheets." A" Concheanainn said that given holding an AFSL is now a common feature of family offices, the corresponding implications in terms of records, issuing products and delivering ...

Former AFA president mourned

RACHEL DAVIS  |  TUESDAY, 12 JUN 2012
... 1986, as an agent with Legal and General, progressing his career through study and experience to ultimately hold his own AFSL in 2003. As well as his terms as President and State Director, Mr Murphy also served as Chairman of the Public Affairs Committee ...

Rogue trader banned for four years

ALISON BEVEGE  |  FRIDAY, 25 MAR 2011
... addition to the ban on financial services, Perkin must not act as a representative of an Australian financial services licence (AFSL), pretend to represent an AFSL or even apply for an AFSL for the next four years.