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Showing 171 - 180 of 880 results for "Australian Financial Services"

JANA hires from NYSE

ANNABELLE DICKSON  |  TUESDAY, 16 MAR 2021
... clients." Commenting on the appointment, Rajanayagam said she is excited to be back working in the Australian financial services sector. "JANA is renowned internationally for its institutional investment capabilities. I am looking forward to leading ...

ASIC cancels stockbroker AFSL

ANNABELLE DICKSON  |  WEDNESDAY, 13 JAN 2021
The corporate regulator has cancelled the Australian financial services licence of Halifax Investment Services nearly two years after it was placed into administration. The cancellation took effect from 8 January 2021 and allows the licence to operate ...

David Atkin joins ME Bank board

KANIKA SOOD  |  THURSDAY, 7 JAN 2021
... ME Bank chair James Evans said. "David is an equally experienced and respected executive in the Australian financial services industry. He has a demonstrated track record of leading growth and transformation projects that create long-term sustainable ...

Director charged with dishonest conduct

ANNABELLE DICKSON  |  FRIDAY, 4 DEC 2020
... Naseeruddin breached the Corporations Act by operating a financial services business without holding an Australian financial services licence (AFSL). The matter is being prosecuted by the Commonwealth Director of Public Prosecutions with each offence ...

AAT refuses Allegra AFSL

ANNABELLE DICKSON  |  THURSDAY, 3 DEC 2020
The Administrative Appeals Tribunal (AAT) has refused the provision of an Australian financial services licence to Allegra Financial Services after it was initially rejected by ASIC. Allegra applied to ASIC for an AFSL in 2018 to provide personal financial ...

New MDA offering launched

ELIZA BAVIN  |  WEDNESDAY, 2 DEC 2020
... the market changes and in a RG179 compliant manner. Lifestyle said the pilot is one of the only Australian financial services licensees to offer this service to their authorised representatives. Lifestyle managing director Scott Heathwood said Lifestyle ...

ASIC cancels two AFSLs

ELIZA BAVIN  |  MONDAY, 30 NOV 2020
... audited accounts for the 2017-19 financial years. Meanwhile, ASIC cancelled the AFSL of Western Australian financial services provider, Selectinvest. ASIC said it cancelled the licence because Selectinvest failed to maintain its external dispute resolution ...

Exemptions to AFSLs explained by ASIC

ELIZA BAVIN  |  THURSDAY, 26 NOV 2020
... guidance to trustees of unregistered managed investment schemes in relation to whether they require an Australian financial services licence. The regulator stressed that a trustee which issues, varies or disposes of interests in an unregistered scheme ...

Former adviser pleads guilty to stealing client funds

ELIZA BAVIN  |  WEDNESDAY, 18 NOV 2020
... guilty plea. Hopkins has been granted conditional bail," ASIC said. ASIC said QWL, which has held an Australian financial services licence since January 2004, provided clients with financial advice including dealing in securities and advising on self-managed ...

Former Financial Circle director charged

ELIZA BAVIN  |  MONDAY, 16 NOV 2020
... personal loans with the proviso customers implement financial advice from them. Financial Circle's Australian financial services licence and Australian credit licenses were cancelled on 19 November 2018.