Search Results | Showing 221 - 230 of 936 results for "AFSL" |
| | | ... written reprimand," he said. A reprimand is not published on the Financial Adviser Register but is provided to an adviser's AFSL. "It's somewhat along the lines of saying, 'You didn't get this right, do better next time', and likely ... |
| | | | ... would mean those regulated by comparable regulators and providing financial services to wholesale clients would not need an AFSL. This will replace the sufficient equivalence relief which is already being transitioned out; once transitional arrangements ... |
| | | | ... finance product issuers," the spokesperson said. "ASIC's jurisdiction includes, but is not limited to, providers with an AFSL, credit licence, otherwise engaging in financial services or those who have disclosure obligations such as market participants." ... |
| | | | Financial advice firms are "problematically" sidestepping compensation payments after the Australian Financial Complaints Authority (AFCA) hands down a decision, using the excuse that they do not have professional indemnity insurance (PII). Out of 5400 ... |
| | | | ... estate in Queensland, Victoria, New South Wales and South Australia. However, at no time did Hopkins or his company hold an AFSL that allowed such activity. Hopkins promoted at least 25 development joint ventures, raising more than $32 million from clients. ... |
| | | | ... arrangements for compensating retail clients. FTX entered voluntary administration on November 11, and the regulator suspended its AFSL until 15 May 2023, which was subsequently extended to 24 July 2023. KordaMentha partners John Mouawad, Scott Langdon ... |
| | | | Financial advice firms AMP Financial Planning, Synchron, and Charter farewelled the largest number of advisers, dragging down the total population to 15,708 from 16,415 at the end of the 2023 financial year. Rainmaker analysis of ASIC's Financial Adviser ... |
| | | | ... acquisition aligns with its strategic vision of providing an extensive range of services to accountants, financial advisers, AFSL holders and lawyers. "We are delighted to have the Castle team join us and look forward to combining our expertise with ... |
| | | | The disgraced director of Select AFSL, the company the Hayne Royal Commission exposed for hawking life and funeral insurance to vulnerable customers, has been banned from managing a company for five years, while his companies were fined $13.5 million. ... |
| | | | ... disqualified him from managing corporations for five years. The regulator also cancelled the Australian financial services licence (AFSL) of McFaddens Securities, now known by its previous name APC Securities. ASIC's doubts surfaced following Sutton's ... |
|