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

Search Results

Showing 111 - 114 of 114 results for "AFS Licensees"

AFS licensees behind the eight ball with account lodgement

... regulator. "This is a disturbingly high number as it means that approximately 15 per cent of the total number of AFS licensees are currently in breach of their obligations," ASIC executive director of financial services regulation Ian Johnston says. ...

New guidelines on conflicts for AFS applicants

... interest in line with the start date of 1 January 2005 for managing conflicts of interest. The policy applies to all AFS licensees who must have adequate arrangements for managing conflicts of interest that may arise wholly, or partially, in relation ...

AFS licensees given notice on MDA authorisations

... later than 10 December 2004. The Australian Securities and Investments Commission (ASIC) said all new and existing AFS licensees will be able to apply for the MDA licence authorisation from 30 September, and those that apply after 1 November risked not ...

AFS licensees pass ASIC's spot check

... licensee's AFS licence application were true and that the licensee's required procedures were operational. "Most of the AFS licensees visited by ASIC demonstrated that appropriate procedures are in place and working well in practice," ASIC deputy executive ...