Search Results | Showing 11 - 20 of 51 results for %22Select AFSL%22 |
| | | ... businesses to protect consumers, promote investment in Australia and deliver competition, but the industry has concerns. The Select Committee on Australia as a Technology and Financial Centre, chaired by Liberal senator Andrew Bragg, tabled its final ... |
| | | | ... disciplinary body to govern serious misconduct. The panel comprises a minimum of two industry participants, who ASIC must select from a list of eligible persons appointed by Hume. The panel will be chaired by an ASIC staff member. Some examples of actions ... |
| | | | ... against the regulator in the Federal Court on allegations of insider trading, unconscionable conduct and breaches of its AFSL obligations in relation to interest rate hedging undertaking during a $12 billion interest rate swap transaction with a consortium ... |
| | | | ... building a scalable financial advice business. "We are not seeking thousands of advisers but rather our focus is on creating a select community of quality professional businesses using our services," he said. "Over the past few years, ClearView has invested ... |
| | | | ... the competence or resources to provide financial services as required under its licence. ASIC said under the terms of its AFSL, Jels was required to have a 'key person'. Following the death of its key person, Jels failed to appoint a new key person. ... |
| | | | J.P. Morgan has won a mandate to provide custodial services to an ASX-listed platform and superannuation provider.In a quarterly business update, Xplore Wealth revealed it has a new custodial agreement contract with J.P. Morgan. Xplore said the new ... |
| | | | ... Sequoia Group. The sale will mean current YBR Wealth advisers will become licenced advisers of Interprac (which holds an AFSL within the Sequoia Group). Rainmaker analysis of the ASIC Financial Adviser Register shows that YBR had 58 advisers in the middle ... |
| | | | Just 49% of the files looked at by ASIC as part of its review of financial advice provided by super funds were found to be compliant with best interests duty. Reviewing the personal advice provided by 21 super funds, ASIC's Report 639: Financial ... |
| | | | 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 ... |
| | | | ... until February 2015 - almost two years after he initially joined. When it did audit his files, the group allowed Doyle to select the files to be audited. Despite this, Doyle failed the audit and received the worst possible rating. The result was so significant ... |
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