Search Results | Showing 101 - 110 of 953 results for "AFSL" |
| | | ... unregistered managed investment schemes or financial services being provided without an Australian financial services licence (AFSL). The balance was issues related to general licence obligations (36%), credit issues (15%) and other (10%). Further, ASIC ... |
| | | | ... all, while another was reported more than a year later than it should have been. Under the Reportable Situations Regime, all AFSL holders must notify ASIC of a reportable situation - in this instance, a significant breach of 'core obligations' ... |
| | | | ... Between 4 January 2024 and 8 October 2024, the regulator also alleged he operated a financial services business without an AFSL. Based in New South Wales' Blue Mountains, Forrest previously worked as a business analyst for Neilson's family office ... |
| | | | ... the right strategic fit for IOOF Alliances, as both groups share common values and goals. "We are focused on simplifying AFSL compliance and enhancing the adviser experience through expert-led solutions and a collaborative eco-system," he said. "Our ... |
| | | | ... First Guardian, Sequoia recently appointed former ASIC commissioner Danielle Press as independent chair of its inaugural AFSL Governance Committee. She currently sits on the board of Insignia Financial, the Customer Owned Banking Code Compliance Committee ... |
| | | | A man who carried on a financial services business without and AFSL and duped investors out of nearly $2 million has pleaded guilty to dishonest conduct and dealing with proceeds of crime. Ashley Arandez pleaded guilty to dishonest conduct, unlicensed ... |
| | | | ASIC fired a stern warning to superannuation funds about "passing the buck" to financial advisers and shedding responsibility for overlooking dodgy investment options as the fallout from the Shield Master Fund and First Guardian Master Fund mounts to ... |
| | | | ... derivatives without a licence. However, those plans were never fulfilled, and PWMS's Australian financial services licence (AFSL) was cancelled in August 2023, when Cuthbertson was also subsequently permanently banned. The matter has been adjourned ... |
| | | | ... products offered by BTG Technology Holdings Limited and its related entities (Bitget). ASIC said Bitget does not hold an AFSL, meaning it is not permitted to promote or encourage Australian investors to invest in its financial products. "Australians ... |
| | | | ... industry participants, the FSC said. The paper found that since the establishment of Australian Financial Services licence (AFSL) in 2001, it has "fostered trust and safeguarded the interests of Australians seeking financial advice." However, in light ... |
|