Search Results | Showing 231 - 240 of 381 results for "Australian Financial Services licence" |
| | | ... inducing the investor to deliver $100,000 to his company, Andean Securities. Lim held an Australian financial services licence (AFSL) from May 2010 until March 2013, when he voluntarily cancelled it and refunded $100,000 to the investor. The Australian ... |
| | | | ... compliance obligations. Protect Ensure, with offices in Brisbane and Sydney, has had its Australian financial services licence (AFSL) suspended from September 23, 2014, to December 19, 2014. Following surveillance, ASIC found that the firm failed to ... |
| | | | ... the bank's plans for the compensation process. ASIC has imposed licence conditions to the Australian financial services licence (AFSL) of CFPL and Financial Wisdom. The new conditions will force both businesses to reopen compensation processes for more ... |
| | | | ... Australian Securities and Investments Commission (ASIC) has imposed licence conditions to the Australian financial services licence (AFSL) of both Commonwealth Bank-owned businesses. The two Commonwealth Bank of Australia (CBA) businesses only implemented ... |
| | | | The Australian Securities and Investments Commission (ASIC) has cancelled the Australian financial services licence (AFSL) of a Parramatta insurance broker and of Banksia Mortgages. The Parramatta-based WD Gelle Insurance & Finance Brokers' licence ... |
| | | | The Institute of Chartered Accountants Australia (ICAA) has said that the current practice of individual financial advisers operating under the Australian Financial Services Licences (AFSLs) of institutions could result in a decline of competition and ... |
| | | | ... exemption with flexible options and means that accounting firms do not need to obtain their own Australian Financial Services Licence. "Not all accountants want to become full financial planners, but going forward they need to be licensed to do what ... |
| | | | ... 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 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 ... |
| | | | ... 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 ... |
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