Search Results | Showing 111 - 120 of 1138 results for "Representatives" |
| | | ... UGC's AFS licence was revoked following a damning ASIC investigation which revealed that the firm's authorised representatives had contacted prospective clients, urged them to establish a self-managed superannuation fund (SMSF), rollover their existing ... |
| | | | ... and that he operated a financial services business without as AFS licence (AFSL). On 10 August 2021, his legal representatives filed an application seeking orders that the pleas of guilty be set aside. On 8 April 2022, the District Court dismissed the ... |
| | | | ... provided were done so efficiently, honestly and fairly and that it failed to take reasonable steps to ensure its representatives complied with financial services laws," the regulator said. Many of the clients were in a self-managed superannuation fund ... |
| | | | Industry funds BUSSQ and Cbus have defended their respective boards' close ties to the CFMEU, saying all representatives satisfy the fit and proper standards outlined by APRA. This week the Victorian branch of the Construction, Forestry and Maritime ... |
| | | | ... were responsible for ensuring XTrade complied with financial services laws and monitoring the supervision of its representatives. However, ASIC found that they failed to manage conflicts of interests, which led to aggressive sales tactics by XTrade's ... |
| | | | ... planning; reinsurance management; scam management; technology management; training and monitoring of relevant representatives and staff; underwriting; and whistleblower policy and process. New information in the package also includes a joint ASIC and ... |
| | | | ... billion. "AWAG has an active pipeline of both EPS investments as well as the planned onboarding of authorised representatives into our wealth management advisory services business, CHPW Financial," AWAG chair Lee IaFrate said. "As the advice market continues ... |
| | | | ... claims decisions. Additionally, it provides secure digital access for solicitors, carers, and other third-party representatives, which AIA claims will allow them to efficiently handle and track claims on behalf of members. Members can also access content ... |
| | | | ... liquidation - Magnolia Investment Management (MIM)and Magnolia Asset Management (MAM) - were also corporate authorised representatives of Guildfords. Last November, ASIC disqualified Atkins from managing corporations for five years and banned him for ... |
| | | | ... Amendment (Delivering Better Financial Outcomes and Other Measures) Bill 2024, was introduced in the House of Representatives and read for a first time on March 27. The committee discussed 11 recommendations from the DBFO's predecessor, Michelle ... |
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