Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 101 - 110 of 1940 results for "licensee"

ASX to undergo 'circuit breaker' reforms

ELIZA BAVIN  |  MONDAY, 15 DEC 2025
The ASX has agreed to a package of reforms aimed at strengthening confidence in Australia's critical market infrastructure, providing certainty about the market operator's reset, and responding to the Interim Report released today by the panel of the ...

Mulino taps super sector to help pay CSLR special levy

ELIZA BAVIN  |  WEDNESDAY, 10 DEC 2025
Assistant Treasurer and Minister for Financial Services Daniel Mulino has suggested including APRA-regulated superannuation funds in the Compensation Scheme of Last Resort (CSLR) as the 2026 special levy has blown out to $47.3 million. Mulino added ...

ASIC releases legal obligations for private credit funds

ELIZA BAVIN  |  TUESDAY, 9 DEC 2025
... the misleading or deceptive conduct prohibitions and unconscionable conduct prohibition. ASIC said the principal AFS licensee must take all reasonable measures to ensure its representatives comply with financial services laws. Earlier this year, ASIC ...

68% pass financial adviser exam: ASIC

KARREN VERGARA  |  MONDAY, 8 DEC 2025
... standards. A person training to become a relevant provider must pass the exam before they can be authorised by an AFS licensee as a provisional relevant provider and start the third quarter of their professional year (PY). The next financial adviser ...

ASIC allows more forms to be lodged via email

STAFF WRITER  |  THURSDAY, 4 DEC 2025
... of scheme auditor FS08 Application for consent from ASIC to resign as an auditor of an Australian financial services licensee Two other documents - Form 201 - Application to register an Australian company and Form 484 - Change to company details - can ...

More than 2000 advisers at risk as deadline looms

JAMIE WILLIAMSON  |  MONDAY, 1 DEC 2025
... personal financial advice from 1 January 2026. Of these, 836 may be eligible for the experienced provider pathway but their licensee is yet to notify ASIC as to whether they will take this option, the regulator noted. There are also 827 existing providers ...

ASIC suspends Newcastle advice firm's AFSL over missing key person

MATTHEW WAI  |  FRIDAY, 28 NOV 2025
... ASIC to vary its AFSL within five days as required, and it was unaware of the breach until ASIC made enquires of the licensee. As a result, FFA provided financial services for more than two years without a key person and ASIC alleges it has failed to ...

Rainmaker's John Dyall to retire

STAFF WRITERS  |  THURSDAY, 27 NOV 2025
Rainmaker Information's long-serving head of investment research John Dyall will retire at year-end, closing out a career that has left a deep imprint on the Australian investment and advice sectors. Dyall joined Rainmaker in 2015, bringing more ...

FX coaching platform handed additional conditions over compliance failures

MATTHEW WAI  |  WEDNESDAY, 26 NOV 2025
... notification obligations is important to allow ASIC to monitor the AFSL's financial health on a timely basis and ensure the licensee is solvent and can demonstrate they continue to meet the ongoing financial requirements stipulated in their licence ...

Super funds lagging RIC obligations: Pulse Check

ELIZA BAVIN  |  WEDNESDAY, 26 NOV 2025
ASIC and APRA have released the findings of the 2025 Pulse Check on retirement income covenant (RIC) implementation, painting a fairly dire picture of how super funds are understanding and meeting member needs. While the regulators said some improvements ...