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Showing 1 - 10 of 365 results for "Australian Financial Services Licence"

New alternative investment firm lands in Sydney

MATTHEW WAI  |  MONDAY, 20 JUL 2026
... risk-adjusted returns." Civitas operates as a corporate authorised representative of Bolt Capital's Australian financial services licence.

New 'high-risk' derivatives on the rise

MATTHEW WAI  |  MONDAY, 20 JUL 2026
... spokesperson said. "Businesses offering derivatives, including perps, will generally require an Australian financial services licence (AFSL). "ASIC takes unlicensed conduct seriously and where it identifies serious misconduct it won't hesitate to take ...

Prime Value licence suspended over reporting failures

VINNY VUCAGO  |  MONDAY, 20 JUL 2026
ASIC has suspended the Australian financial services licence (AFSL) of Prime Value Asset Management after the fund manager failure to meet its statutory audit and financial reporting obligations for two consecutive financial years. The corporate regulator ...

ASIC cancels AFSL of Australian Fiduciaries

RIDDHIMA TALWANI  |  FRIDAY, 17 JUL 2026
ASIC has cancelled the Australian financial services licence (AFSL) of Queensland-based Australian Fiduciaries, which is currently in liquidation. This follows Australian Fiduciaries' inability to pay the amount determined by the Australian Financial ...

Another MWL adviser banned over Shield collapse

RIDDHIMA TALWANI  |  THURSDAY, 16 JUL 2026
... her application for a review of the decision. On 25 August 2025, ASIC cancelled MWL's Australian Financial Services licence, banned one of MWL's directors and its responsible manager. Niu is one of several former MWL financial advisers who have ...

NAB-owned WealthHub cops $1m ASIC fine

VINNY VUCAGO  |  WEDNESDAY, 15 JUL 2026
... to the breaches were repeated failures to correctly report Intermediary ID, which is the Australian financial services licence number used to identify the entity responsible for placing orders and trades through a market participant's trading system. ...

ASIC cancels Trive Financial's AFSL as review into CFDs continues

VINNY VUCAGO  |  FRIDAY, 10 JUL 2026
ASIC has cancelled the Australian financial services licence (AFSL) of contracts for difference (CFD) issuer Trive Financial Services Australia, after determining the company was no longer carrying on a financial services business in Australia. The ...

ASIC cancels AFSL of Capital Guard over fake bond sale

ELIZA BAVIN  |  FRIDAY, 3 JUL 2026
ASIC has cancelled the Australian Financial Services Licence (AFSL) of Capital Guard after finding that it had engaged in dishonest conduct, including the selling of a fake bond and providing false documents to its auditor. ASIC said the licence was ...

ASIC slaps adviser with 10-year ban, strips AFSL

MATTHEW WAI  |  FRIDAY, 19 JUN 2026
... adviser and the sole director of Freedom Wealth Services, which has subsequently lost its Australian financial services licence (AFSL). According to ASIC, Newbound was found to have forged client signatures on service agreements and provided inaccurate ...

Block Earner found to have offered an unlicensed financial product

MATTHEW WAI  |  THURSDAY, 18 JUN 2026
... that Earner was, in fact, a financial product, and Block Earner consequently required an Australian financial services licence (AFSL), overturning the Full Federal Court's previous decision in 2025. The product was available between March and November ...
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