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Showing 1201 - 1210 of 1226 results for "Licensees"

Guidance on SOAs from ASIC

ASIC has provided guidance on Statements of Advice (SOAs) to help Australian financial services licensees fulfil their obligations under the Corporations Act 2001. The guide is aimed at addressing both content and presentation deficiencies discovered ...

New principal member for FPA

... standards being developed by new entrants such as KPMG Private Wealth, together with changes being implemented by the licensees who already support FPA as principal members, gain recognition the sector itself will evolve more quickly."

MLC Alliances appoints new GM

... will be responsible for the introduction to the market of the company's new program of services for independently owned licensees. Under this program MLC Alliances provides licensee services, business consulting services and implementation services to ...

ASIC clarifies breach notification requirements of AFSLs

... in writing to ASIC. Determining whether a breach is significant is most important and to this end ASIC has specified licensees should take into account the number and frequency of similar breaches, how the breach would impact on the licensee's ability ...

ASIC moves in on unlicensed operators

... from operating in the financial services sector. The first phase of ASIC's campaign involved the transition of old law licensees to the new licensing regime. The results of the first phase assisted ASIC in identifying targets.. Over the next 6 months ...

ASIC extends transitional position on dollar disclosure

... implement proper compliance planning and implementation systems. "The transitional relief announced today will help licensees and product issues in this planning and implementation process," said ASIC's deputy executive director of financial services ...

MLC opens access to non-MLC licensees

MLC on Wednesday announced a new program of support services that would provide independently owned and licensed advice businesses access to MLC services. "The MLC Alliances program provides independently owned and licensed businesses with licensee ...

ASIC relaxes requirements on licensee cash deposits

... Australian Securities and Investments Commission (ASIC) issued a new class order on Tuesday allowing Financial Services licensees to deposit client money into a cash common fund. The regulator said in certain circumstances, corporations law required ...

AFS licensees given notice on MDA authorisations

Australian financial services (AFS) licensees were reminded on Thursday applications for managed discretionary account (MDA) authorisations needed to be in no later than 10 December 2004. The Australian Securities and Investments Commission (ASIC) said ...

AFS licensees pass ASIC's spot check

... released its findings on a program of 353 randomly conducted verification visits on Australian financial services (AFS) licensees. Conducted between December 2002 and July 2004, the visits were undertaken to confirm certain declarations made in the licensee's ...