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Showing 101 - 110 of 114 results for "Licenses"

BT trustees receive RSE licenses

BT Financial Group has taken its turn as next in the licensing line, receiving RSE licenses for their three trustees - BT Funds Management Limited, BT Funds Management No.2 and Westpac Securities Administration Limited. The licensing regime falls under ...

APRA counts licensee applicants post-deadline

... licensing applications lodged by close of business Friday was 324, said Snell, and of those 93 have already been issued with licenses, leaving 231 to be assessed by the end of June this year. Snell said Friday's deadline came and went without any shocks ...

ASIC too soft on AFSL applicants: Aud Gen

ASIC has issued Financial Services Licenses (FSLs) in a rush and without properly inspecting applications from a number of financial planners, dealers and insurance brokers, according to a new Auditor-General report. The report by the national Auditor-General ...

Aon first diversified group to get RSE

... financial institutions and includes financial conglomerates, banks, insurance companies and superannuation firms. While other licenses have been awarded to superannuation funds, the majority fall into the Specialised Institutions Division, which is responsible ...

Too few funds applying for RSE licenses

... Prudential Regulation Authority (APRA) is still very low. And this concern is reinforced by only the small number of licenses that have to date been issued to date, which in-turn is leading to much confusion surrounding the legislation. The confusion ...

AFS licensees behind the eight ball with account lodgement

... clients' money and property has been properly dealt with," Johnston says. As it is the first lodgement of accounts for many licenses ASIC said it would contact licensees requesting they immediately comply with the requirement before they took further ...

ASIC loses Johnston to Hong Kong

... transition of the financial services sector to the higher standards required under the Australian financial services licenses.

MLC Advice Solutions gets new leadership structure

... will remain intact. New appointments include Greg Miller as general manager Self Employed Australian Financial Services Licenses, Chris Wrightson as MLC Alliances general manager, and Wayne Marsh as general manager of Adviser Business Services. Under ...

MLC opens access to non-MLC licensees

... AdviserCentral," MLC advice solutions chief executive officer Matt Lawler said. "Principals of advisory firms who run their own licenses have told us it is difficult to deliver a quality, seamless advice experience to their clients when they are using ...

No licence, no business: ASIC

Businesses who fail to meet the March 10 deadline for Australian financial services (AFS) licenses will face charges if they continue to operate, the Australian Securities and Investments Commission (ASIC) has said. ASIC said it approximately 900 applications ...