Search Results | Showing 281 - 290 of 953 results for "AFSL" |
| | | The Financial Planning Association of Australia's (FPA) membership has fallen to 10,954 members from 11,811 last year, and the association has recorded a before-tax deficit of $1.2 million for the year ended June 30. FPA member numbers decreased ... |
| | | | Scientiam has partnered with DASH Technology Group to launch a transition service that assists advisers in getting their C and D clients out of underperforming funds. The Scientiam Transition Service, available at no cost until the end of the year ... |
| | | | ... 74% of the reports received came from the same 23 licensees, which were typically larger; just 9% of reports came from an AFSL with less than $50 million in revenues. ASIC said this is significantly less than anticipated and suggests some licensees don't ... |
| | | | CommSec and AUSIEX will pay the largest penalty ever handed down for breaches of Market Integrity Rules. CommSec has been ordered to pay $20 million while AUSIEX will pay $7.12 million for systemic compliance failures over a nine-year period. In a case ... |
| | | | ... Register shows that between 2010 and 2015 Reynolds was licensed by Westpac. He then moved to Dover Financial Advisers until its AFSL was cancelled in July 2018. Then, more than a year later, he became licensed by Interprac Financial Planning before ceasing ... |
| | | | ASIC imposed banning orders on Quantum Funds Management managing director Peter Gribble for failing to pay $2.5 million in Australian Financial Complaints Authority determinations. Gribble is banned from controlling a financial services business or ... |
| | | | ... of Picture Wealth and four clients. At the time of offending, Wertheimer was not authorised by Picture Wealth or any other AFSL to provide financial services to clients. The first charge carries a maximum penalty of five years imprisonment, the second ... |
| | | | ... Interprac as the initial national practice manager, before moving to the NTAA and helping establish the SMSF Advisers Network AFSL, sees him come to Sequoia with a good feel already for our business. "Knowing the quality of Phil's work and premium ... |
| | | | Monochrome Asset Management has joined a select few Australian asset managers receiving authorisation under an AFSL to offer retail investors fully regulated and direct insured exposure to crypto assets. Monochrome's responsible entity partner, Vasco ... |
| | | | ... came into effect last October, following concerns that it's not operating as intended. The regime, which applies to all AFSL and ACL holders, commenced in October 2021 and came off the back of the Royal Commission. Now, less than a year later, ASIC ... |
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