Search Results | Showing 11 - 20 of 139 results for "Australian Financial Services License" |
| | ASIC has released three legislative instruments to regulate advice fee consents and lack of independence disclosures, as part of the government's response to the Royal Commission. The first of the three sets the requirements that written consent from ... |
| | | Lifestyle Asset Management will introduce a new Managed Discretionary Advice (MDA) service to its authorised representative network and announced the appointment of an investment management coach. Lifestyle's MDA will launch a service pilot and invite ... |
| | | ASIC has cancelled the Australian financial services licenses of Western Australia-based, Personal Risk Management and Melbourne-based Australian Golden Securities ASIC said Personal Risk's cancellation took effect on 21 May 2020, after the company ... |
| | | ... manipulation, auditor and liquidator breaches, and breaches of licensing obligations, including Australian financial services license obligations. Additionally, ASIC said it had completed on-site reviews at each of the aforementioned institutions, with ... |
| | | ASIC has commenced action in the Federal Court in Western Australia focused on the promotion and management of the Sterling Income Trust. The regulator said the action is against Theta Asset Management, an Australian financial services licensee and ... |
| | | AFS licensees are consistently failing to provide correct information about advice fees to clients and are potentially still charging fees long after ongoing fee arrangements have been terminated, ASIC has found. The report, Compliance with fee disclosure ... |
| | | ASIC has told Australian financial services licensees that they will not be in breach of the law because their financial advisers were not able to register with ASIC-approved compliances schemes. The original deadline for registering was 1 January 2020. ... |
| | | ... by Treasury, the regulator said it does not believe accountants should be exempt from the Australian Financial Services license regime, but that the system does need simplifying. "While we do not consider that there is any justifications for re-instating ... |
| | | A new paper on the consumer impact of Approved Product Lists (APLs) claims institutionally-aligned Australian Financial Services Licensees (AFSLs) are funneling new clients into in-house products, potentially in breach of Best Interest Duty obligations. ... |
| | | A dealer group boss decided to close down its Australian Financial Services License after finding it hard to restock advisers with the FASEA education requirements. Queensland-based Myonlineadvisers was started by James Sutherland in 2012 as a non-aligned ... |
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