Search Results | Showing 191 - 200 of 1904 results for "licensee" |
| | | ASIC has extended the reportable situations relief and personal advice record keeping requirement instruments for another five years. The regulator has established ASIC Corporations and Credit (Breach Reporting-Reportable Situations) Instrument 2024/620 ... |
| | | | The Australian Securities and Investments Commission (ASIC) has reissued RG 121 to provide updated guidance to individuals and companies from outside Australia that wish to conduct a financial services business in Australia. The newest version replaces ... |
| | | | ... members, called SuperSmart. The $115 billion industry fund, which has nearly two million members, partnered with large licensee Industry Fund Services (IFS) and financial services software provider Iress to develop the platform. Hostplus head of financial ... |
| | | | ... adviser must pass the exam before starting the third quarter of their Professional Year program and be authorised by an AFS Licensee as a provisional financial adviser. Next year, ASIC flagged that the indicative dates for the exam sittings are March ... |
| | | | ... equities, commodities or crypto assets. ASIC found FXOpen AU's failure to comply with its core obligations as an AFS licensee warranted the cancellation to protect existing and future clients from likely future breaches of its core obligations. The regulator ... |
| | | | ... applicant's application. ASIC said during the pilot phase, all other AFSL applicants will continue using the existing eBusiness licensee portal to apply for, maintain, and vary their licence. "ASIC is using the pilot as an opportunity to take on board ... |
| | | | ... period. Despite a challenging year for Sequoia at an industry level and in-fighting within its management ranks, the licensee and adviser services division managed to report a 27% rise in revenue and operating profit growth of 91%. Sequoia liquidated ... |
| | | | ... across nine categories, with a few standing out for their consecutive wins. Perpetual Private once again claimed the Licensee Managed Account award, while Alvia Asset Partners emerged victorious in the highly competitive Boutique Licensee Managed Account ... |
| | | | ... representatives at the end of June, an increase of 38 since the start of this financial year," it said. "In contrast, many other licensee companies continue to see attrition of financial advisers. "Of the top 10 licensee firms in Australia only three ... |
| | | | ... for this unpaid determination," Anderson wrote in LinkedIn. "AFCA data demonstrates a history of complaints for this licensee over recent years. Will the advice profession now be expected to pick up the cost of a bunch of these complaints? Why did Sequoia ... |
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