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Showing 291 - 300 of 354 results for "Australian Financial Services Licence"

Ex-Westpoint adviser faces charges

MICHAEL HOBBS  |  WEDNESDAY, 14 MAY 2008
Keith Rowntree, formerly from Solutions One Finance Group, faces three ASIC charges for providing advice on a range of financial products, including Westpoint, without the proper licence. ASIC alleges that between 2003 and 2005, Rowntree provided financial ...

Adviser gets community service

RUTH LIEW  |  MONDAY, 14 APR 2008
... unlawfully providing financial services advice on behalf of the company which did not hold an Australian financial services licence. He also pleaded guilty to two counts of inducing investors by making false, misleading or deceptive statements, to invest ...

MillhouseIAG buys Huntley

RUTH LIEW  |  WEDNESDAY, 12 MAR 2008
... decade," said Millhouse. The Huntley Group has been in operation since 1999 and holds an Australian Financial Services Licence. It acts as responsible entity, custodian, trustee and/or manager for 50 managed investment projects worth $150 million including ...

Liquidnet rakes $200m off starting blocks

... realtime platform capable of moving large volumes of stock." The local subsidiary has an Australian Financial Services licence and routes matched trades to Macquarie Capital Securities Limited for potential execution on the ASX. However, the company ...

Fraudulent advisers caught

RUTH LIEW  |  THURSDAY, 14 FEB 2008
... of unlawfully providing financial advice on behalf of Progressive which failed to hold an Australian financial services licence. He also pleaded guilty to two counts of inducing investors to apply for 300,000 shares in OMIP 15 - 7 by making false, misleading ...

Futures contracts director caught without AFSL

... contracts on the Sydney Futures Exchange, without either defendant being the holder of an Australian financial services licence (AFSL). The regulator has alleged that between January 2004 and March 2006, Oxford Investments and Moore ran training courses ...

ASIC to sue Westpoint

The Australian Securities and Investments Commission (ASIC) is to take legal action against Westpoint, and planner groups that recommended Westpoint products, on behalf of investors who lost a combined $320 million when the property group collapsed ...

Beware of hedge risk: Deloitte

... their Australian counterparts. For example, Australian hedge fund managers do require an Australian financial services licence (AFSL) and, depending on structure, may be regulated by the Australian Securities and Investments Commission (ASIC). By contrast ...

Clearing houses need to be licensed: ASIC

ALEX DUNNIN  |  WEDNESDAY, 4 OCT 2006
... Corporations Act." Providers that are not currently licensed should take steps to obtain an Australian financial services licence (AFSL) as soon as reasonably practicable, said Adams. ASIC, however, recognises that services providers to clearing houses ...

Rei Super gains APRA licence

... they contracted 'Professional Financial Solutions' who previously assisted them with their Australian Financial Services Licence (AFSL) application. "AFSL is a different licence but it was very clear to me that we would benefit from using an external ...