Search Results | Showing 121 - 130 of 1904 results for "licensee" |
| | | More than 4600 relevant providers have yet to meet qualification standards, according to ASIC, and have only six months to meet the deadline. An ASIC spot check of the 15,610 relevant providers listed in the Financial Advisers Register found that 6426 ... |
| | | | ... Protecting against share sale fraud includes examples of share sale fraud methods by bad actors and better practices for licensee prevention and detection. These include being alert to possible use of stock images, fakes, forgeries, and independently ... |
| | | | Padua Solutions has appointed Dimitri Diamantes to the newly created role of senior technical services manager, overseeing the advice fintech's software, services, research and data divisions. Diamantes has almost two decades of experience in financial ... |
| | | | ... Money Awards. "A responsible entity must have measures in place for ensuring it complies with its obligations as an AFS licensee," ASIC deputy chair Sarah Court said. "These include having adequate governance controls and procedures to ensure that disclosures ... |
| | | | The super funds that saw member accounts breached by cybercriminals in April have been instructed to undertake a "special purpose engagement," as APRA asks all trustees to review their compliance with Prudential Standard CPS 234 Information Security. ... |
| | | | ... deducted the fees from the relevant member's account as dictated in the consent form. To rely on the no-action position, the licensee or fee recipient, must enter into a new OFA with the client with a new written consent which also covers the period ... |
| | | | ... its executive manager growth and development. Commencing his role on July 1, Marcus O'Sullivan will be responsible for licensee growth, practice developments, and licensing and education activities. O'Sullivan has some 20 years' experience in senior ... |
| | | | ... conditions on Kalkine's Australian financial services licence (AFSL) to ensure compliance with its obligations as an AFS licensee. "These conditions require Kalkine to engage a consultant to review, assess and report to ASIC whether Kalkine's interactions ... |
| | | | ... provided, Resimac "summarily rejected their hardship applications." The conduct contravened the obligation of a credit licensee to act "efficiently, honestly and fairly", ASIC said. ASIC deputy chair Sarah Court said the approach is "particularly unfair ... |
| | | | ... money into a bank account held in her company's name, Colisa, without their knowledge. It also alleged she misled her licensee at the time, Ballast Financial Management, and clients into believing she had invested the money when she had not. Pearson ... |
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