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Showing 281 - 290 of 357 results for "Australian Financial Services Licence"

SMSFs targeted in $428k swindle

ASIC RELEASE  |  FRIDAY, 21 AUG 2009
... dishonest conduct in relation to a financial product. Neither Mr. nor Mrs. White held an Australian financial services licence. Both were sentenced in the Victorian County Court.

QSuper bulks senior investment team

COMPANY RELEASE  |  WEDNESDAY, 29 JUL 2009
... Regulation Authority. This is in addition to QSuper Limited's successful application for an Australian Financial Services Licence to provide general financial product advice on superannuation. The QSuper Board of Trustees governs QSuper, the superannuation ...

Broker gets permanent ban from ASIC

COMPANY RELEASE  |  THURSDAY, 25 JUN 2009
... financial services law by carrying on a financial services business while not holding an Australian Financial Services Licence. "ASIC will not hesitate to ban individuals who disregard their obligations under the Corporations Act 2001. The permanent ...

Court convicts unlicensed Westpoint planner

PRESS RELEASE  |  MONDAY, 20 APR 2009
... related companies. He pleaded guilty to the charge of providing financial advice with an Australian financial services licence (AFSL). As a result of the conviction, Rowntree is disqualified from managing corporations for five years. Companies including ...

Charged for no AFSL

ASIC RELEASE  |  TUESDAY, 14 APR 2009
... directors who dealt in financial products, including Westpoint promissory notes, without an Australian financial services licence (AFSL). Barry William Silver, of Arundel, Robert Peers Button (also known as 'Bob Button') of Currumbin Waters, Mark Pirimona ...

Double Bay brokers banned

MICHAEL HOBBS  |  WEDNESDAY, 4 FEB 2009
... Interactive Insurance Brokers. ASIC found Dryer was aware of the requirement to hold and Australian Financial Services Licence (AFSL) but chose to disregard those conditions. Both men can appeal ASIC's decision to the Administrative Appeals Tribunal. ...

Sherry's to-do list for 2009

RUTH LIEW  |  FRIDAY, 30 JAN 2009
... Government has already announced that CRAs and product research houses will need to have an Australian Financial Services Licence and report to ASIC annually on the integrity of their ratings processes. This includes conflicts of interest management. ...

Big Sky to aid BHP staff

MICHAEL HOBBS  |  WEDNESDAY, 28 JAN 2009
... and 49 per cent owned by Snowball. Big Sky Financial Solutions operates under the Outlook Australian Financial Services licence.

Masu settles Westpoint case

MICHAEL HOBBS  |  FRIDAY, 28 NOV 2008
Masu Financial Management has settled a class action brought by the Australian Securities and Investment Commission (ASIC) for 85 investors sold Westpoint Group financial products. The Federal Court of Australia settled the two remaining complaints ...

Industry backs ASIC 'super snapshot'

MICHAEL HOBBS  |  TUESDAY, 29 JUL 2008
... ASIC grants relief to superannuation calculator providers from the requirement to hold an Australian Financial Services licence (AFSL) and from conduct and disclosure requirements of the Corporations Act. Yet, the relief is only granted if the calculator ...