Search Results | Showing 11 - 20 of 87 results for "AFS Licensees" |
| | ... obligations placed on individual financial planning practitioners should be separated from the requirements that apply to AFS licensees and product providers. "The ongoing dialogue between the ALRC, the FPA and the financial services sector more broadly ... |
| | | ... between its commencement and 30 June 2022, only 6% of licensees lodged a report. Further, most reports came from AFS licensees, not credit licensees. Overall, 74% of the reports received came from the same 23 licensees, which were typically larger; just ... |
| | | ... entities to pay consumers a total amount of approximately $2.5 million. ASIC deputy chair Sarah Court said directors of AFS licensees must ensure that their firms comply with AFCA determinations. "This is a fundamental obligation of AFS licensees, and ... |
| | | ... given Osborne's accomplishments in this area, he will also chair the Investment Committees of the group's AFS licensees. This extends to compliance proficiency and assisting the development of support services to self-licensed practices while ... |
| | | ... responsible entities". ASIC said it will now accept re-lodgment of certain proof documents and acknowledged that some AFS licensees with an interest in operating CCIVs may have been recently assessed for a new or varied licence. "In light of this, we ... |
| | | ... compensate consumers sooner. The corporate watchdog launched a new consultation with the advice industry to ensure that AFS licensees act efficiently, honestly, and fairly when remediating consumers. ASIC deputy chair Karen Chester said one of the most ... |
| | | ... drop on the variable amount of $3138 based on earlier estimates. The new levy of $25.8 million is split among 2934 AFS licensees with 18,750 advisers. For advisers who provide retail advice for products that are not relevant financial products, their ... |
| | | Asendium has joined forces with a licensee support firm that has more than 70 AFS Licensees nationwide. My Dealer Services is using the financial advice technology firm's software to develop compliant advice. Advisers will be able to generate in-house ... |
| | | ... greater confidence they are doing the right thing by consumers, and ultimately their firm and shareholders," she said. AFS licensees must report breaches that they discover after 1 October 2021, even if the breach occurred before that date. However ... |
| | | ... clients". This is despite the fact that Jennings has been working as an adviser since 2009, representing several AFS licensees. The misconduct occurred during the time she was an authorised representative of Meritum (February 2012 to February 2017) and ... |
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