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Showing 121 - 130 of 142 results for "AFS Licence"

ASIC cancels Teys Property AFSL

ASIC RELEASE | FRIDAY, 26 MAR 2010

... appointed as administrator on 5 March 2010. Under the Corporations Act, ASIC has the power to suspend or cancel an AFS licence if the responsible entity holding the licence is placed under external administration without holding a hearing. Teus received ...

ASIC cancels Hedge Securities licence

ASIC RELEASE | THURSDAY, 18 FEB 2010

... years. Licensees should be vigilant in ensuring they comply with the Corporations Act and the conditions of their AFS licence, noted ASIC in a statement. Hedge Securities and Investments has the right to lodge an appeal to the Administrative Appeal tribunal ...

Machiavellian Macville gets prison term

... Securities. Mawson Securities sacked Macville in early 2004 for failing to comply with the provisions of the group's AFS licence and referred the matter to ASIC who then launched legal proceedings. The regulator said this should serve as a stern warning ...

ASIC to cut AFS licence paperwork

ASIC has announced it will introduce changes to its Australian financial services licence (AFSL) application processes that will cut the paperwork needed by more than 50 per cent. Malcolm Rodgers, executive director in Regulation said ASIC has reduced ...

ASIC provides guidance about Choice advice

... form, that amounts to financial product advice about the employees' superannuation arrangements, unless they hold an AFS licence or are otherwise authorised to provide financial advice." "This is to protect the interests of employees who may receive ...

AFSLs growing in number

... has supplied for this purpose including parts one and two of the 'AFS Licensing Kit', as well as 'How to vary your AFS Licence'. ASIC executive director of financial services regulation Ian Johnston says "licence applications that do not include all ...

New guidelines on conflicts for AFS applicants

... (CLERP 9) legislation and have been reflected in the new versions of the AFS Licensing Kit and Small business and your AFS licence: Compliance with Policy Statements 164 and 181. According to ASIC the new licensing kits details the information Australian ...

AFS licensees pass ASIC's spot check

... between December 2002 and July 2004, the visits were undertaken to confirm certain declarations made in the licensee's AFS licence application were true and that the licensee's required procedures were operational. "Most of the AFS licensees visited ...

ASIC warns licensees over possible AFS breaches

... advised that licensees can apply to vary their licence. The advice in the latest ASIC newsletter pointed out that AFS licence holders may be in technical breach of their licence if they don't have all the licence authorisations they need to carry on ...

Winchcombe Carson robustified by AFS compliance: IOOF

... back office for its advisers, IOOF has announced. "Winchcombe Carson was one of the first dealer groups to obtain an AFS licence and we estimate from ASIC and FPA figures that only around 50 per cent of dealer groups have obtained their new licence to ...

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Invesco launches new equity fund

ELIZA BAVIN | 12:13PM

Invesco said the new fund will give Australian investors access to a systematic global equity strategy with a 20-year track record.

FCA pursues Neil Woodford again

KARREN VERGARA | 12:05PM

The Financial Conduct Authority (FCA) is going after failed fund manager Neil Woodford again, this time for allegedly providing unauthorised investment advice via W4.0, his Dubai-based investment platform.

Former APRA deputy chair launches retirement solutions startup

KARREN VERGARA | 12:03PM

A former APRA deputy chair has launched CipherIQ, a new venture that provides retirement solutions via account-based pensions in partnership with superannuation funds, financial advisers and retirees.

Global X launches space tech ETF

MATTHEW WAI | 11:12AM

Global X has now launched the space tech ETF (ASX: MOON).

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