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Showing 1241 - 1250 of 1277 results for "AFS"

ASIC takes Market Traders to court

AAP  |  FRIDAY, 11 JUN 2004
... ASIC alleges Market Traders was carrying on a financial services business without holding an Australian financial services (AFS) license or being appropriately authorised by an AFS license holder, in breach of the Corporations Act. The watchdog also ...

ASIC warns licensees over possible AFS breaches

... Australian financial regulator ASIC has warned that some licensees may be in breach of their Australian Financial Services (AFS) licence and has advised that licensees can apply to vary their licence. The advice in the latest ASIC newsletter pointed ...

FPA says 97% of principal members FSR compliant

The Financial Planning Association (FPA) has confirmed that 560 of its current 576 principal members - or 97% - have either obtained or have applications pending for an Australian Financial Services Licence (AFSL) and will be compliant come the Financial ...

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 ...

"Shocking" AFS applicants may miss out: ASIC

With only two months until the Australian Financial Services (AFS) licence deadline on March 10, the Australian Securities and Investment Commission (ASIC) has called on applicants to be more responsive to its requests for accurate information. ASIC ...

ASIC grants AFSL exemption to financial counselling agencies

... and Investments Commission (ASIC) has announced it has granted conditional relief from the Australian Financial Services (AFS) licensing requirements to financial counselling agencies that provide financial product advice. Financial counsellors predominantly ...

Winchcombe Carson robustified by AFS compliance: IOOF

The Winchcombe Carson dealer group has successfully transitioned to its Australian Financial Services (AFS) licence, resulting in a more robust and compliant back office for its advisers, IOOF has announced. "Winchcombe Carson was one of the first dealer ...

Three months to go as ASIC fast tracks AFS licence applications

The Federal Government has continued to remind financial sector participants about the need to apply for their AFS licences promptly, with only three months remaining until the end of the transition to the Financial Services Reform (FSR) Act. Parliamentary ...

Securitor receives two AFS licences

... FSRA compliance go-ahead from the Australian Securities and Investments Commission (ASIC), with the regulator approving two AFS licences for the new entity. "We have traditionally had two dealer groups PACT and Securitor," explained Securitor operations ...

MLC receives 13 AFS licenses

... the Australian Securities and Investments Commission (ASIC), with the regulator issuing 13 Australian Financial Services (AFS) licenses to enable them to operate under the Financial Services Reform Act (FSRA). The 13 licenses for MLC include its Retail ...