Search Results | Showing 251 - 260 of 1315 results for "AFS" |
| | | A former financial adviser who was jailed for stealing more than $1 million from his clients' superannuation to feed a gambling problem is now permanently banned from the industry. In September 2023, Mark Raymond Sebo was found guilty of misappropriating ... |
| | | | ... based on their original qualification. These changes, nevertheless, come with transition costs for financial advisers and AFS license holders, including one-off implementation expenses. Advisers may also face increased compliance demands and operational ... |
| | | | ASIC has had its first court win in relation to cryptocurrency, with fintech Block Earner found to have offered a financial product to retail investors without a licence. However, it was a mixed outcome for the regulator, with another allegation quashed. ... |
| | | | ... relevant providers who were not registered in early February, reminding them of the requirement to be registered by their AFS Licensee. "ASIC encourages relevant providers to check their registration status on the Financial Advisers Register today to ... |
| | | | Financial advisers can now access premium content and portfolio analytics via J.P. Morgan Asset Management's upgraded adviser portal. JPMAM said it's focused on "providing access to new tools and functionality in a more customised way for advisers." ... |
| | | | ... fraudulent investment websites between November 2020 and July 2021 under various names. The website operators used two legitimate AFS Licences without their knowledge or consent. ASIC did not name the holders of the AFSLs. Cullia, who hails from Southbank ... |
| | | | ... qualified and licensed financial advisers or financial counsellors, not by individuals or corporations who neither hold an AFS licence, nor are authorised representatives of an AFS licensee," it said. "Crypto assets are highly speculative investments... ... |
| | | | After being rebuked by ASIC for operating without an AFS Licence, iExtend is now running under a Corporate Authorised Representative (CAR) arrangement for the interim. A CAR enables iExtend to act as an agent of an AFS Licensee, meaning it is authorised ... |
| | | | Sequoia Financial Group has acquired the business assets of Clique Paraplanning in cash on an earn out revenue multiple of about one. According to an ASX announcement, the deal comprised of $150,000 in cash and $60,000 in shares. The earn out and final ... |
| | | | Financial advice licensing support provider Dirigere Advisory has rebranded to Intelligent Planning, hiring a new advice distribution manager in the process. Intelligent Planning was launched on January 15 and operates under the same Dirigere AFSL. ... |
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