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Showing 261 - 270 of 357 results for "Australian Financial Services Licence"

HOSTPLUS, IOOF allocate mandates

ELISE BURGESS  |  THURSDAY, 11 AUG 2011
... companies that are in the indices," said Rooney. Neuberger Berman Australia received its Australian Financial Services licence in April this year. Its parent company, Neuberger Berman, is a US-based asset management company with approximately $198 billion ...

Paragem secures new planning licensee

MATT WOODINGTON  |  MONDAY, 20 JUN 2011
... financial advisory practice PWK Private Wealth Advisers has joined the Paragem Wholesale Australian Financial Services Licence (AFSL), taking the dealer group's total assets under advice to $1.3 billion. Paragem now has 13 practices under its AFSL and ...

ASIC new guidance for AFSL

ELISE BURGESS  |  MONDAY, 4 APR 2011
Holders of an Australian Financial Services Licence (AFSL) now face updated guidance including guides on margin lending facilities, simple managed investment schemes and certain superannuation products. Australian Securities and Investments Commission ...

Rogue trader banned for four years

ALISON BEVEGE  |  FRIDAY, 25 MAR 2011
... the securities regulator who investigated. ASIC found that Perkin had failed to obtain an Australian financial services licence and did not communicate sufficiently with investors. It also found he had not properly registered the company in the British ...

UBS wealth mgmt to review compliance

ELISE BURGESS  |  FRIDAY, 18 MAR 2011
... on the program will be provided within 14 months to ASIC. If UBS WMA fails to comply, its Australian financial services licence may be affected.

ASIC catches Camelot Derivatives

ASIC RELEASE  |  TUESDAY, 8 FEB 2011
... King engaged in conduct that was likely to mislead or deceive, failed to ensure Camelot's Australian Financial Services licence (AFSL) provided fair service, failed to comply with the conditions of the AFSL and King was an accessory to Camelot's contraventions. ...

Former Chartwell director pleads guilty

ELISE BURGESS  |  FRIDAY, 10 DEC 2010
... charges on providing false information to investors and carrying financial services without an Australian financial services licence. Hoy is on bail until 25 January next year. On August 19, former Chartwell secretary, Ian Rau, was sentenced to two years ...

Shorten to tighten tax agent rules for planners

MEDIA RELEASE  |  MONDAY, 29 NOV 2010
... who offer some tax agent services, are currently regulated through the ASIC administered Australian Financial Services Licence. Tax agents, on the other hand, are regulated through the tax agent services regime administered by the Tax Practitioners Board. ...

Investors lose $7m in Qld scam

ASIC RELEASE  |  THURSDAY, 18 NOV 2010
... two years. Miller, 43, was charged with one count of providing financial advice without an Australian Financial Services licence under s911A of the Corporations Act. This charge followed an ASIC investigation, which found she encouraged approximately ...

Adviser sentenced to 8yrs imprisonment

ELISE BURGESS  |  FRIDAY, 29 OCT 2010
... LFG Services revoked in 2007 for "failing to comply with the provisions of LFG Services' Australian financial services licence". He will be eligible for parole after serving one third of his sentence.