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Showing 121 - 130 of 437 results for "Pty Ltd"

AAT upholds AFSL rejection

OSKAH DUNNIN  |  TUESDAY, 15 JAN 2019
... labelled as "cash held". The AAT found that Watson only held this amount during him time as a director of Advali Accountants Pty Ltd, but since his resignation he had forfeited this amount. Watson also falsely declared himself as an authorised AFS licensee ...

IMAP awards managed accounts excellence

KARREN VERGARA  |  THURSDAY, 2 AUG 2018
... Managed Accounts Stanford Brown Group (winner) Crystal Wealth Paradigm Group The Lunar Group Pty Limited Viridian Advisory Pty Ltd WLM Financial Services Innovation Dynamic Asset Consulting Elston Asset Management (winner) Financial Simplicity Fincast ...

ASIC issues warning over Dover advisers

JAMIE WILLIAMSON  |  WEDNESDAY, 13 JUN 2018
... compliance history. In doing so, the regulator referenced previous warnings issued following action taken against Aliom Pty Ltd and the now-defunct Guardian Advice, in 2013 and 2015 respectively. Above all, ASIC urged licensees considering authorising ...

ASIC cancels Melbourne firm's AFSL

KANIKA SOOD  |  THURSDAY, 17 MAY 2018
... companies that copped a $7.2 million fine from the corporate regulator in February. ASIC took Wealth & Risk Management Pty Ltd (WRM) to the Federal Court which found that WRM breached numerous financial services laws and obligations in offering advice ...

ASIC drags NSW adviser to court

KANIKA SOOD  |  TUESDAY, 8 MAY 2018
... this month. ASIC has commenced proceedings against Graeme Walter Miller and three related companies: CFS Private Wealth Pty Ltd, Combined Financial Solutions and BDM Asia Pacific Pty Ltd (formerly known as CFS Corporation Pty Ltd). ASIC said the adviser ...

ASIC bans Perth adviser

DARREN SNYDER  |  FRIDAY, 23 FEB 2018
... protection policies. The law enforcement agency looked at several of Leake's client files from Wealthsure Financial Services Pty Ltd, where he was an authorised representative from March 2015 until January 2018. ASIC said the outcome is a result of its ...

ASIC successfully files injunction against Melbourne advice provider

JAMIE WILLIAMSON  |  MONDAY, 15 JAN 2018
... operating while proceedings brought by ASIC continue in the Federal Court. ASIC commenced proceedings against Financial Circle Pty Ltd in December 2017, alleging the business was offering loans direct to consumers that could only be obtained if the consumer ...

Wage freeze

BENJAMIN ONG  |  THURSDAY, 17 AUG 2017
... Proprietors/partners of unincorporated businesses - Persons paid by commission only - Working proprietors/owner managers of Pty Ltd companies - Employees on workers' compensation who are not paid through the payroll - 'Non-maintainable' jobs (i.e. jobs ...

Insurer must refund $330k

EMMA RAPAPORT  |  WEDNESDAY, 21 JUN 2017
... bundled add-on insurance product which includes general and life insurance cover - through The Warranty Group Australasia Pty Ltd, to customers taking out loans at car yards mainly in Queensland and New South Wales. Virginia Surety stated the life cover ...

Industry fund appoints two directors

EMMA RAPAPORT  |  TUESDAY, 16 MAY 2017
... national distribution roles with Macquarie Bank. Herlihy was appointed as a director of Mine Wealth and Wellbeing Services Pty Ltd, a subsidiary of Mine in February 2017. Prior to her current role as marketing director at Paypal, she worked in a number ...