Search Results | Showing 11 - 20 of 142 results for "AFS Licence" |
| | | ... feedback to make continuous improvements to the AFSL application process and transaction flows before we go live for all AFS licence applications, scheduled for the first quarter of 2025," ASIC said. The project is part of the wider digital transformation ... |
| | | | ... accounts and contributed to the client money shortfalls on BBY's liquidation on 22 June 2015. ASIC has cancelled BBY's AFS licence in June 2021. Yuen is automatically disqualified from managing corporations for five years from conviction and will not ... |
| | | | In a first for ASIC, Libertas Financial Planning's AFS Licence (AFSL) has been revoked for its failure to pay compensation as ordered by the Compensation Scheme of Last Resort (CSLR). Libertas, which went into liquidation in September 2023, failed ... |
| | | | ... business, was also dealt a blow with the corporate regulator's decision to cancel United Global Capital's (UGC's) AFS licence. UGC's AFS licence was revoked following a damning ASIC investigation which revealed that the firm's authorised representatives ... |
| | | | ... of fraud under s408c of the Queensland Criminal Code and that he operated a financial services business without as AFS licence (AFSL). On 10 August 2021, his legal representatives filed an application seeking orders that the pleas of guilty be set aside. ... |
| | | | ... good faith. XTrade applied to the Administrative Appeals Tribunal (AAT) in April to review the decision to cancel its AFS licence, but the licence will stay cancelled until a final decision is made. Zakhaim and Anderson were responsible for ensuring ... |
| | | | ... found "significant and systemic failures of oversight and compliance" upon investigating Guildfords, which had an AFS Licence (AFSL) to provide advisory and dealing services with respect to managed investment schemes and securities, as well as custodial ... |
| | | | ... Earner, which invested in cryptocurrency, operated an unregistered managed investment scheme (MIS) without holding an AFS Licence (AFSL) with respect to the "Earner" product, the company was relieved of any liability to pay a fine. "The Court found Block ... |
| | | | ASIC has canned the AFS Licence (AFSL) of the asset management firm linked to a massive money-laundering operations. Everest Asset Management, which was licensed to service wholesale clients, will no longer be operational. ASIC said it revoked the AFSL ... |
| | | | ... period, ASIC's investigation found. On top of this, Bigatton provided financial product advice without holding an AFS Licence or authorisation to provide financial services about the Lending Platform and BCC. He will be sentenced on July 5, with ... |
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