Search Results | Showing 111 - 120 of 952 results for "AFSL" |
| | | A financial planning group that began life as a fintech start-up is enjoying a rapid growth phase. Picture Wealth Advisory leads the top 10 AFSLs with the highest number of new advisers in the year to June, based on a new financial adviser report released ... |
| | | | FirstChoice, BT Panorama and Insignia Financial's Expand are the most widely used platforms among financial advisers, according to Rainmaker Information, which shows that one third of the industry rely on the 'Big 3'. Colonial First States ... |
| | | | ... advice and financial services. Further, the business website falsely claimed the relevant company representatives held an AFSL. ASIC's investigation in October 2020 alleged that Beresford established Maxwell Financial Services in 2019 and offered ... |
| | | | ... investigated and confirmed not to have led to any client loss," he said. Overall, ASIC alleges the advice firm did not meet its AFSL obligations as it failed to have adequate policies, frameworks, systems and controls in place to deal with cybersecurity ... |
| | | | ... offence, and said it considered the licensees' response in deciding its enforcement approach. Smart Financial Capital is the AFSL of Smart Financial, which has offices in Warilla and Nowra in New South Wales. According to ASIC, the financial product ... |
| | | | ... another one of his companies, IPO Capital, carried on a financial services business from 2016 to December 2017 without an AFSL. Ultimately, Mawhinney was associated with or involved in the above contraventions, Judge Button said. However, the court did ... |
| | | | ... corporate authorised representative of Crown Wealth Group until last year when its Australian financial services licence (AFSL) was cancelled after the group was placed into voluntary administration. The reportable situations regime requires licensees ... |
| | | | ... which comprises most of the sector, will pay $39.3 million. This is based on 2680 AFSLs with 15,233 advisers. In essence, an AFSL will pay the minimum levy of $1500 plus $2314 for every adviser on their books. Those that provide general advice only will ... |
| | | | ... chance." Between March 2019 and April 2023, he was found to have been involved in five companies: State Advice, Ansa Finance, AFSL Group, About Advice, and Advice Now. All the companies were operating a similar model to that of the business Fuoco was ... |
| | | | ASIC has provided AFSLs new reliefs to help them manage the reportable situations regime, which includes extending the length of investigations reportable from 30 days to 60 days. Also in the relief, ASIC is exempting the reporting of certain breaches ... |
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