Search Results | Showing 261 - 270 of 980 results for "AFSL" |
| | | ... synergies", the ASX-listed group said yesterday, as it undergoes liquidation, company deregistration, and the cancellation of its AFSL. Sequoia acquired Libertas in 2019, which at the time had 68 authorised representatives, in a bid to scale its financial ... |
| | | | Diverger's net profit after tax dropped by 24% to $2.83 million in FY23 on the back of mergers and acquisitions - something it will continue to pursue. Reporting to the ASX, Diverger announced the completion of four acquisitions and projected collectively ... |
| | | | ... Group has joined forces with Godfrey Pembroke's Practice Development Group (PDG), consolidating their operational and AFSL services to create a new entity providing back-office services to their financial advice networks. Madison signed a non-binding ... |
| | | | ... any functions in financial services as he is "not a fit and proper person" to do so. ASIC has subsequently cancelled the AFSL of PWMS with a condition that the external dispute resolution and arrangements for compensating clients remain in place for ... |
| | | | ... 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 ... |
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