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Showing 141 - 150 of 152 results for "Australian Financial Services License"

ASIC loses Johnston to Hong Kong

The Australian Securities and Investments Commission has lost another senior executive with the resignation of industry stalwart Ian Johnston. Johnston, most recently ASIC executive director of financial services regulation, has been appointed to a ...

Guidance on SOAs from ASIC

ASIC has provided guidance on Statements of Advice (SOAs) to help Australian financial services licensees fulfil their obligations under the Corporations Act 2001. The guide is aimed at addressing both content and presentation deficiencies discovered ...

New principal member for FPA

... the list. FPA principal members are comprised of companies and individuals holding an AISC Australian financial services license who have passed the pre-admission standards of the association. Moreover the members make a commitment for all of their representatives ...

MLC Advice Solutions gets new leadership structure

NAB's new regional business model has brought about a change in the leadership structure of MLC Advice Solutions. MLC's existing advice businesses management team will remain intact. New appointments include Greg Miller as general manager Self Employed ...

ASIC accepts National Australia Bank's enforceable undertaking

... Australia Bank (National) designed to improve the bank's key systems and controls under its Australian financial services license (AFSL) after the foreign currency options trading losses National incurred in January this year. The enforceable undertaking ...

Wholesale foreign financial service providers get ASIC relief

... providers registered with the US Commodity Futures Trading Commission (CFTC) to hold an Australian financial services license (AFS). Under the class order: US CFTC regulated financial services providers, those exempt from holding an AFS include futures ...

ASIC restricts wealth creation spruikers

... had given financial product advice without being licensed or authorised to do so under an Australian financial services license (AFSL) and has restrained them from doing so in the future unless authorised by an AFSL.

ASIC moves in on unlicensed operators

... regulator will now focus on identifying those businesses that are not operating with an Australian financial services license (AFSL). Operators who fail to conduct business without a licence face a $22,000 fine, a jail term of two years or both. "If ...

Aspen and Financial Resources launch fixed interest fund

AAP  |  MONDAY, 19 APR 2004
... joint venture has applied to the Australian Securities and Investments Commission for an Australian Financial Services license. Aspen Group managing director Angelo Del Borrello said the joint venture represented a strategic entry into the debt market ...

Accounting firm addition continues Capstone evolution

... during its first 16 months of operation and is an independently owned and operated under an Australian Financial Services License. Capstone has 34 advisers in 19 offices throughout Victoria and South Australia with funds under advice of more than $700 ...