Search Results | Showing 11 - 20 of 104 results for %22AFSL Register%22 |
| | | ... specific courses, according to ASIC. The corporate regulator said it made a one-off update to the Financial Advisers Register on November 3 to record that individuals who are both a relevant provider and a registered tax agent on 20 September 2023 can ... |
| | | | ... January 2009 and April 2014, he was at Sentry Financial Planning. ASIC cancelled Platinum Perpetual Global Private Wealth's AFSL in September 2019 after Western Australian police charged him with eight counts of stealing at the time. On September 22 ... |
| | | | ... date for financial advisers' registration requirements to 1 February 2024. Advisers previously had until October 1 to register on ASIC's Financial Advisers Register. The original deadline date was set for 1 January 2023. Advisers who provide personal ... |
| | | | ... Group has joined forces with Godfrey Pembroke's Practice Development Group (PDG), consolidating their operational and AFSL services to create a new entity providing back-office services to their financial advice networks. Madison signed a non-binding ... |
| | | | ... written reprimand," he said. A reprimand is not published on the Financial Adviser Register but is provided to an adviser's AFSL. "It's somewhat along the lines of saying, 'You didn't get this right, do better next time', and likely ... |
| | | | Financial advice firms are "problematically" sidestepping compensation payments after the Australian Financial Complaints Authority (AFCA) hands down a decision, using the excuse that they do not have professional indemnity insurance (PII). Out of 5400 ... |
| | | | ... population to 15,708 from 16,415 at the end of the 2023 financial year. Rainmaker analysis of ASIC's Financial Adviser Register found a 4% year-on-year decline in the adviser pool from 16,415 advisers practising in FY22. AMP Financial Planning lost a ... |
| | | | ... disqualified him from managing corporations for five years. The regulator also cancelled the Australian financial services licence (AFSL) of McFaddens Securities, now known by its previous name APC Securities. ASIC's doubts surfaced following Sutton's ... |
| | | | Financial advisers from large aligned AFSL groups bear the brunt of complaints, according to the Australian Financial Complaints Authority's data, with several AMP and Insignia Financial practices leading the pack. Modelling of the AFCA data shows ... |
| | | | ... conduct, eight counts of dealing with proceeds of crime, and one count of carrying on a financial services business without an AFSL. From June 2019, Arandez was operated the business without a licence. Prior, he was licensed through SIRA Group for three ... |
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