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Showing 111 - 120 of 134 results for "Financial product advice"

Jury out on AFSL uptake by accountants

BEN COLLINS  |  THURSDAY, 6 DEC 2012
... accountants to provide good enough advice anyway, Moss said. As it stands it would let accountants provide "financial product advice" on SMSFs, but it does not actually cover what areas of SMSFs accountants could advise on, such as contributions, rollovers ...

CPA responds to advice exemption

MELANIE TIMBRELL  |  TUESDAY, 1 MAY 2012
... protection and the delivery of quality taxation advice by financial advisers who offer this as part of their financial product advice services." The Financial Planning Association has welcomed the move as necessary to proper transition. "We believe this ...

ASIC cancels South Australian financial services licence

CLAIRE MCGREAL  |  THURSDAY, 17 NOV 2011
... financial services under its Australian Financial Services (AFS) license, including the provision of financial product advice, and dealing in financial products including derivatives, foreign exchange contracts and securities. ASIC's investigation alleged ...

ASIC investigations lead to charges, interim orders

CLAIRE MCGREAL  |  TUESDAY, 15 NOV 2011
... orders obtained restrain AFT from marketing any financial product including MetaTrader 4 and providing any financial product advice. The court orders have also frozen over $180,000 currently held in a foreign exchange account held by AFT. AFT is incorporated ...

Tasmanian former adviser charged for no AFSL

MEDIA RELEASE  |  TUESDAY, 23 NOV 2010
... ASIC. The corporate regulator alleges that between January 2006 and February 2009, Vafiadis provided financial product advice and dealt in financial products. ASIC claims he put in place commission arrangements for these services. However, throughout ...

QSuper bulks senior investment team

COMPANY RELEASE  |  WEDNESDAY, 29 JUL 2009
... QSuper Limited's successful application for an Australian Financial Services Licence to provide general financial product advice on superannuation. The QSuper Board of Trustees governs QSuper, the superannuation fund for over 520,000 current and former ...

Ex-director banned for 25 years

MEDIA RELEASE  |  MONDAY, 16 MAR 2009
... settled it's proceeding against Geagea on 9 May 2008. Geagea was also banned by the Court from providing financial product advice for five years and managing corporations until 31 December 2011.

ASIC bans Oxford Investments

MICHAEL HOBBS  |  WEDNESDAY, 2 JUL 2008
... derivatives trading for 10 years. The Court found that Oxford Investments and director, Steven Moore, provided financial product advice to 14 people during the firm's futures trading training courses without an Australian financial services licence (AFSL) ...

ASIC zones in on accountants pushing SMSFs

MICHAEL HOBBS  |  FRIDAY, 14 MAR 2008
... are subject to an exemption, you need to advise a client in writing that you're not licensed to provide financial product advice and the client should seek a financial services license holder," said DuPre. "We've seen accountants receive commissions ...

Futures contracts director caught without AFSL

... Oxford Investments Tasmania Pty Ltd and its director, Steven Nigel Moore (the defendants) from providing financial product advice on derivatives trading and strategies. ASIC is seeking declarations that the defendants provided financial product advice ...