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Showing 211 - 220 of 354 results for "Australian Financial Services Licence"

La Trobe mortgage fund gets "Strong" rating

STAFF WRITER  |  WEDNESDAY, 26 FEB 2014
... offering. Australia Ratings is the only credit rating agency in Australia which holds a retail Australian Financial Services Licence (AFSL) issued by the Australian Securities & Investments Commission (ASIC) meaning that it is the only ratings agency ...

Latest Financial Standard issue available on the iPad app

STAFF WRITER  |  MONDAY, 24 FEB 2014
... latest edition of Financial Standard, we look at the pros and cons of setting up your own Australian Financial Services Licence (AFSL). We also investigate the calls from some sectors of the industry to take superannuation out of the modern awards system ...

ASIC concerned about PDS font size, consumer warnings

LAURA MILLAN  |  THURSDAY, 28 NOV 2013
... primary document must be at least 9 points, except for the issuer's name, address, ACN, ABN or Australian financial services licence number, which must be at least 8 points. ASIC is also concerned about the fact that "the required warnings were often ...

Accountants cautious to enter advice space

LAURA MILLAN  |  TUESDAY, 26 NOV 2013
... almost six months after the accountant exemption ended, only 31 have applied for a limited Australian financial services licence (AFSL). "Accountants will not be rushing into limited AFSLs," the Institute of Chartered Accountants Australia (ICAA) head ...

Chambers enters into administration, loses AFSL

LAURA MILLAN  |  FRIDAY, 4 OCT 2013
Chambers Investment Planners entered into voluntary administration and had its Australian financial services licence (AFSL) cancelled by the Australian Securities and Investments Commission (ASIC). ASIC also cancelled the Australian credit licence of ...

Sonray director to face 10 years imprisonment over unfunded deposits

ALICE URIBE  |  THURSDAY, 3 OCT 2013
... imprisonment for submitting a false document to ASIC. Sonray was established in 2003 and held an Australian financial services licence. It was one of the first brokers in Australia to provide advice on contracts for difference (CFDs). The company was ...

New adviser service speeds up dealer group creation

LAURA MILLAN  |  MONDAY, 30 SEP 2013
... dealer group. My Dealer Services and Libertas Solutions will help advisers to obtain an Australian financial services licence (AFSL) and manage the ongoing compliance requirements. It will provide a full range of licensee services and functions for boutique ...

New SFG service launched to reposition boutiques

ALICE URIBE  |  THURSDAY, 12 SEP 2013
SFG Australia (SFGA) has launched a business-to-business offering to assist boutique Australian Financial Services Licence (AFSL) holders with back-end support. The offering from the SFGA-owned Actuate Alliance Services will provide licensee and advice ...

ASIC concerned over "pockets" of poor SMSF advice

LAURA MILLAN  |  MONDAY, 2 SEP 2013
... is made through an SMSF. However, some operators mistakenly think they do not require an Australian financial services licence to do that. Tanzer said that there are operators providing SMSF property advice without a licence. "In the past year, we have ...

ASIC orders additional AFSL conditions on Sydney firm

LAURA MILLAN  |  MONDAY, 26 AUG 2013
... Securities and Investments Commission (ASIC) has imposed additional licence conditions on the Australian financial services licence (AFSL) of a Sydney-based firm. ASIC identified concerns about the adequacy of Roco International's market risk management ...