Search Results | Showing 231 - 240 of 980 results for "AFSL" |
| | | ... distribution manager in the process. Intelligent Planning was launched on January 15 and operates under the same Dirigere AFSL. Advice firms partnered with Intelligent Planning include Beta Advice, Canberra-based Hayes & Co, and Perth-based NOR Financial. ... |
| | | | ... commenced civil proceedings against Westpac for insider trading, unconscionable conduct, and breaches of its obligations as an AFSL. With the deal between the state government and the consortium signed at 7am, ASIC alleged Westpac knew by 8.30am - or ... |
| | | | ... Fuoco was involved in carrying on a financial services business via five companies. These include State Advice, Ansa Finance, AFSL Group, About Advice, and Advice Now. ASIC is now seeking orders against Fuoco for contempt of court. If Fuoco is found ... |
| | | | ... 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. ... |
| | | | The corporate regulator recently suspended the AFSL of Melbourne-based over-the-counter (OTC) derivatives issuer Prospero Markets (Prospero). The penalty comes after the Forex and CFD trading platform, which services mainly Chinese-speaking clients ... |
| | | | ... 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 He was also found to have continued to provide services through Veridian Markets after its AFSL authorisation was revoked.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 ... |
| | | | ... shares on the ASX, the regulator said. Further, between 18 March and 15 November 2021, ASIC believes that EverBlu breached its AFSL obligations by failing to properly follow procedures and put in place adequate controls relating to the receipt and execution ... |
| | | | ... Mackay Chapman's lawsuit, who was retired, saw life savings disappear thanks to Caddick, who operated Maliver without an AFSL and used another company's licence without authorisation. The client received a small proportion back and will receive ... |
| | | | In its final response to the Quality of Advice Review (QAR), the government plans to modernise the best interests duty and amend the Statement of Advice (SoA), while also granting approval for superannuation funds to provide personal advice. In its ... |
| | | | After receiving Royal Assent on November 27, ASIC is urging all financial advisers who service retail clients to register before the 1 February 2024 final deadline. From this date, advisers otherwise known as relevant providers who provide personal ... |
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