Search Results | Showing 1 - 10 of 105 results for %22AFSL Register%22 |
| | | ... months after Madison partnered with Godfrey Pembroke's Practice Development Group, consolidating their operational and AFSL services to create a new entity providing back-office services to their financial advice networks. |
| | | | ... a non-cash payment facility that used the 'Qoin' cryptocurrency token, without an Australian Financial Services Licence (AFSL). ASIC chair Joe Longo said this was a significant ruling as the first court outcome against a non-cash payment facility involving ... |
| | | | ... Securities Identification Numbers (ISINs), Australian business numbers (ABNs) and Australian financial services licence (AFSL) numbers, as well as imitating investment maturity dates, coupons and credit ratings. Scammers also use online advertisements ... |
| | | | ... 169 investors, including for the development of a product by Kradle Software. During this time, MacroLend has not held an AFSL. In courting investors, ASIC claims Hodgson told them Kradle Software held intangible assets of $1.02 billion when it did not ... |
| | | | ASIC has had its first court win in relation to cryptocurrency, with fintech Block Earner found to have offered a financial product to retail investors without a licence. However, it was a mixed outcome for the regulator, with another allegation quashed. ... |
| | | | ... advice services." From February 16, those who are unregistered are in breach of a restricted civil penalty provision; the AFSL provider will have committed an offence of strict liability and contravened a civil penalty provision. Phil Anderson, the general ... |
| | | | ... advisers and their clients changes from "what if" into "what to do" which is much more meaningful." Advisers with a valid AFSL can register for access now. |
| | | | ... Harnam, Terence Murphy, Johann Preller, and David Sidhu. ASIC has now placed them on its public banned and disqualified register. They are not eligible to reapply for registration. Murphy requested that his disqualification be reviewed by ASIC. ASIC ... |
| | | | ... significant consequences for unregistered financial advisers who continue to provide personal advice, together with their AFSL. "The provision of personal advice by unregistered advisers is prohibited and carries significant penalties," Kirkland said. ... |
| | | | ... Markets, now in administration. He was also found to have continued to provide services through Veridian Markets after its AFSL authorisation was revoked. Pagliacco was found to have told prospective clients that his business could invest their funds ... |
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