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Showing 131 - 140 of 159 results for "Australian Financial Services License"

Regulators fight breaches online

RUTH LIEW  |  WEDNESDAY, 12 MAR 2008
The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments Commission (ASIC) has launched a new online breach reporting system for dual-regulated institutions. According to a joint statement released by both ...

ASIC revises regulations for AFS license holders

CHRIS NICHOLLS  |  TUESDAY, 26 JUN 2007
... updates affect Policy Statement 166 - Licensing: Financial requirements and Pro Forma 209 - Australian financial services license condition and mean that calculations of 'surplus liquid funds' can now include the addition of a percentage of non-current ...

Pengana to ride the UK REIT wave

... from the UK Financial Services Authority to run a business, the equivalent of getting an Australian Financial Services License (AFSL) locally. "Pengana is proactively building its offshore capacity and resources as part of its strategic focus on new ...

Adviser jailed for five and a half years

HAMISH MADDEN  |  FRIDAY, 9 FEB 2007
... money for his own purposes, as well as carrying on a financial services business without an Australian financial services license and providing false information to ASIC officers during examinations. "Today's outcome shows that the courts will take a ...

End for scheme scamming Greek community

HAMISH MADDEN  |  FRIDAY, 2 FEB 2007
... business, carrying on a financial services business and providing financial services without an Australian Financial Services License (AFSL). They were ordered not to engage in any similar conduct. Jan Redfern, ASIC's executive director of enforcement ...

Family banned by ASIC and AFSL revoked

HAMISH MADDEN  |  MONDAY, 13 NOV 2006
... Australian family have been banned from providing financial services and have had their Australian Financial Services License (AFSL) revoked following an investigation by the Australian Securities and Investments Commission (ASIC). Australian Business ...

AFM gets expanded AFSL

ALEX DUNNIN  |  TUESDAY, 12 SEP 2006
... marketing and compliance adviser Australian Funds Marketing (AFM) has been granted an expanded Australian Financial Services License to operate registered managed investment schemes. "This makes AFM a one-stop shop for responsible entities," said John ...

Financial mentor to be wound up

HAMISH MADDEN  |  THURSDAY, 31 AUG 2006
... that director Andrew Carr had carried on a financial services business without holding an Australian Financial Services License (AFSL). The order to proceed with the winding up of the operation affects Nimshay Pty Ltd trading as Superior Wealth Creation ...

Two directors cop ASIC bans

HAMISH MADDEN  |  MONDAY, 19 JUN 2006
... statement for a financial product and operating a financial services business without an Australian financial services license. Forshaw and Bottari were found to have engaged in misleading and deceptive conduct and demonstrated a propensity to ignore ...

Two charged over dodgy building insurance

HAMISH MADDEN  |  FRIDAY, 26 MAY 2006
... The men are facing 15 charges, including providing a financial service without holding an Australian Financial Services license, making misleading statements in relation to financial products and engaging in dishonest conduct in relation to financial ...