Search Results | Showing 11 - 20 of 39 results for "Corporate Authorised Representative" |
| | ... valid authorisation from an AFSL holder. The claim says PE Capital held itself out as being a corporate authorised representative with the authority to issue information memorandums for unregistered schemes and special purpose vehicle trusts. On top ... |
| | | A trading platform was slapped with additional conditions from ASIC for several compliance failures. ASIC is doubtful if retail OTC derivative issuer AxiCorp Financial Services has the appropriate procedures and internal controls to meet regulatory ... |
| | | ... jurisdiction to consider a complaint against a licensee in relation to the conduct of its corporate authorised representative, specifically where the conduct of the representative was without or outside authority. AFCA has now updated its rules, at ASIC's ... |
| | | ASIC has commenced civil penalty proceedings against brokerage firm Union Standard International Group and its affiliates. The corporate regulator has taken action against the Sydney-based retail over-the-counter derivatives issuer and its former corporate ... |
| | | ... its key person, Jels failed to appoint a new key person. In addition, ASIC said Jels' sole corporate authorised representative was also insolvent. The company also failed to lodge its audited accounts for the 2017-19 financial years. Meanwhile, ASIC ... |
| | | ... additional expense, making a strong contribution to our EBITDA," the company said. TCA is a corporate authorised representative of Sequoia Group and has generated an average of $800,000 in annual income over the past three years. It will be absorbed ... |
| | | Sequoia Financial Group has entered an agreement to acquire a wealth group, adding about 23 advisers and $1 billion in funds under management. Sequoia Wealth Management will acquire the customer base of Phillip Capital Limited's existing advisers ... |
| | | ... he was the sole director of Money Works, a firm appointed by Futuro Financial Services as a corporate authorised representative. At the time, Harris was not authorised to provide financial services, however gave the false impression he was, in statements ... |
| | | ... firm in Queensland. Affinitas Financial Planning has joined Count Financial as its newest corporate authorised representative. Affinitas Financial Planning managing director Brad Peters said Affinitas had been looking for the appropriate partner by "speed ... |
| | | A regulatory update at the Association of Financial Advisers' Roadshow event in Sydney provided financial advisers a clear message on life insurance commissions and referral fees, and took aim at a former FASEA board member in the process. AFA general ... |
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