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Showing 1 - 10 of 381 results for "Australian Financial Services licence"

Adviser stripped of AFSL he claimed he didn't hold

MATTHEW WAI  |  WEDNESDAY, 21 OCT 2026
ASIC has ceased the Australian financial services licence (AFSL) of a New South Wales financial adviser after he failed to comply with licensee obligations, including payment to statutory levies. Kyle Clifford Frost's AFSL cancellation took effect ...

Panacea Capital director charged over $4.4m crypto fund

VINNY VUCAGO  |  TUESDAY, 20 OCT 2026
... Court on October 19, facing one charge of operating a financial services business without an Australian financial services licence (AFSL) and another relating to $4.4 million investing in the business. The Australian Securities and Investment Commission ...

AFSL specialist snags Entireti head of advice risk

MATTHEW WAI  |  TUESDAY, 20 OCT 2026
... initiatives while restructuring roles within the business. Viki Whitehead has joined as advice and Australian financial services licence (AFSL) compliance manager from Entireti after serving as its head of advice risk for two years, leading a team of ...

ASIC bans 14th adviser from MWL

MATTHEW WAI  |  MONDAY, 19 OCT 2026
... advised more than 550 clients investing about $114 million in Shield. ASIC also suspended the Australian financial services licence of MW Planning, a subsidiary of MWL Financial Group, after it failed to appoint a new responsible manager a month later. ...

ASIC consults on new digital asset laws

MATTHEW WAI  |  THURSDAY, 15 OCT 2026
... digital asset platforms (DAPs) and Tokenised Custody Platforms (TCPs), as well as existing Australian financial services licence (AFSL) holders and entities dealing with digital assets. Under the proposed guidance, firms will need to apply for an AFSL ...

OKX Australia launches perps for pre-IPO opportunities

MATTHEW WAI  |  WEDNESDAY, 14 OCT 2026
... products that historically have been difficult to reach." Thie product is offered under OKX's Australian financial services licence (AFSL). It comes as ASIC's sector-wide no-action period for digital asset-related financial product and service providers ...

Former Income AM director launches fixed income advisory

MATTHEW WAI  |  FRIDAY, 9 OCT 2026
... country. AFIA is operating as a corporate authorised representative under Alethia Partners' Australian financial services licence. Bruce was the executive director of capital markets at Income Asset Management for over two years and spent close to a ...

Court orders ASIC to preserve assets from doomed trust

MATTHEW WAI  |  THURSDAY, 10 SEP 2026
... as an authorised representative under National Tax and Accountants' Association's Australian financial services licence (AFSL) between 2016 and 2021. The initial orders included the appointment of provisional liquidators as interim receivers ...

Scams and governance failures dominate tip-offs to ASIC

RIDDHIMA TALWANI  |  THURSDAY, 3 SEP 2026
... unregistered managed investment scheme operations or firms providing financial services without an Australian financial services licence. On the other hand, corporations and corporate governance included fraud allegations, corporate governance issues ...

Swyftx confirms executive line up

MATTHEW WAI  |  THURSDAY, 3 SEP 2026
... blockchain technology to support in areas like investing and payments." Swyftx was granted an Australian financial services licence in July by ASIC and launched licenced leverage trading in the same month.
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