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Showing 231 - 240 of 355 results for "Australian Financial Services Licence"

AFA Adviser of the Year hands back AFSL, joins Affinia

LAURA MILLAN  |  WEDNESDAY, 26 JUN 2013
Adviser Troy Edmondson has handed back his Australian financial services licence (AFSL) and is going to joining Affinia because compliance obligations were taking him away from his clients, he said. Edmondson has handed back the licence of Queensland-based ...

Whittaker Macnaught advisers to operate under Financial Wisdom

LAURA MILLAN  |  TUESDAY, 25 JUN 2013
... Whittaker Macnaught advisers will operate under Commonwealth Bank-owned Financial Wisdom Australian Financial Services Licence (AFSL). Commonwealth Bank Wealth Management Advice said that this was the last step of its decision to close the Whittaker ...

Paragem FUA reaches $1.9bn after new mergers

LAURA MILLAN  |  FRIDAY, 24 MAY 2013
Paragem Australian Financial Services Licence (AFSL)'s funds under advice (FUA) has reached $1.9 billion after three practices joined the group between May and June 2013. The practices are all fee-based and look after more than $280 million FUA, which ...

Count eyes accounting firms

LAURA MILLAN  |  TUESDAY, 30 APR 2013
... Count. On July 1, 2013, accountants will be able to provide advice under new conditional Australian Financial Services Licence (AFSL) arrangements until June 30, 2016, when the accountants' exemption will be completely removed. "Accounting-based businesses ...

Practitioners ill equipped for business sale

MARK SMITH  |  WEDNESDAY, 24 APR 2013
... the differences along the way. Selling a business is made more difficult by the fact that Australian Financial Services Licence (AFSL) providers will rarely provide assistance if a sale will result in the practice leaving the AFSL. To assist practice ...

LUCRF ramps up advice

LAURA MILLAN  |  MONDAY, 15 APR 2013
... advisers and ask specific questions about their financial situation. LUCRF Super has had an Australian Financial Services Licence (AFSL) that allows it to give personal advice to members since May 2010 and its team of advisers was boosted from four to ...

ASIC suspends licence of LM Investment

LAURA MILLAN  |  WEDNESDAY, 10 APR 2013
The Australian Securities and Investments Commission (ASIC) has suspended the Australian financial services licence (AFSL) of LM Investment Management Limited for two years following the company's voluntary administration. The AFSL suspension allows ...

Securities dealer scales back after ASIC review

LAURA MILLAN  |  THURSDAY, 4 APR 2013
... and Investments Commissions (ASIC) found it had failed to comply with conditions of its Australian Financial Services licence (AFSL). The Queensland-based dealer promoted a range of investment education and financial markets trading and modelling tools ...

ASIC imposes AFSL conditions on Lionsgate

ALEX DUNNIN  |  THURSDAY, 7 MAR 2013
ASIC has imposed additional conditions on the Australian financial services licence of NSW-based Lionsgate Financial Group Pty Ltd following a surveillance of its advice business. According to the regulator, Lionsgate currently has 103 authorised representatives ...

New regime for accountants: Shorten

BEN COLLINS  |  THURSDAY, 28 FEB 2013
... Regulation effectively replaces the current accountants' licensing exemption with a limited Australian financial services licence (AFSL) from 1 July 2013. It will enable accountants to provide a greater range of advice to clients than the current exemption. ...