Search Results | Showing 1 - 10 of 40 results for "Corporate Authorised Representative" |
| | ... arrangements, and management buyouts. Under the agreement, Rawson Lewis will operate as a Corporate Authorised Representative of Openmarkets. OpenMarkets chief executive Dan Jowett said the company is looking to capitalise on onshore and offshore equity ... |
| | | Lanterne Fund Services was issued a $1.25 million penalty by the Federal Court for failing to comply with basic obligations, including operating with almost no compliance staff or risk management processes. In July 2022, ASIC issued civil penalty proceedings ... |
| | | ... it was found to be operating without one. For the time being, iExtend is operating under a Corporate Authorised Representative arrangement, acting as an agent of another AFSL. "We are delighted to have Peter join iExtend as chair and are fortunate to ... |
| | | ... being rebuked by ASIC for operating without an AFS Licence, iExtend is now running under a Corporate Authorised Representative (CAR) arrangement for the interim. A CAR enables iExtend to act as an agent of an AFS Licensee, meaning it is authorised to ... |
| | | ... months, contingent upon achieving a minimum EBIT contribution of $1.5 million. FAM became a corporate authorised representative of Centrepoint Alliance subsidiary Alliance Wealth in 2015. Since, Centrepoint Alliance said FAM has grown and has strongly ... |
| | | ... services by obtaining either their own AFS licence or obtaining status as an authorised rep or corporate authorised representative of an AFS licensee or Australian Credit Licensee." While this might seem like a small pool, their breadth and depth of ... |
| | | MobiSuper and its licensee will pay a $250,000 penalty for breaching superannuation advice laws while promoting the MobiSuper fund. MobiSuper and ZIB Financial will pay the combined penalty after the Federal Court found MobiSuper representatives had ... |
| | | ASIC has issued civil penalty proceedings against wholesale licensee Lanterne Fund Services, saying it operated with almost no compliance staff or risk management processes. The regulator alleges that Lanterne has on multiple occasions failed to meet ... |
| | | ... June 2016 until 25 May 2021 and were involved in the activities of Vision Wealth Group, a corporate authorised representative of Financial Masterplan. Vision Wealth established a website to attract clients by helping them find their lost super through ... |
| | | ... (financial) advice proposals. Under the bill, the TPB still has the responsibility for the Corporate Authorised Representative (CARs) and AFSL registrations, meaning compliance with TPB regulations is still required. "The current drafting does not meet ... |
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