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Showing 291 - 300 of 357 results for "Australian Financial Services licence"

ASIC bans Oxford Investments

MICHAEL HOBBS  |  WEDNESDAY, 2 JUL 2008
... product advice to 14 people during the firm's futures trading training courses without an Australian financial services licence (AFSL) between January 2004 and March 2006. In addition, the Court found both the firm and Moore misled and deceived investors ...

Liquidnet trading reaches $1 billion

MICHAEL HOBBS  |  THURSDAY, 12 JUN 2008
... market to competition and grant the firm a Australian Market Licence. The firm was granted an Australian Financial Services Licence in October 2007 and began its Australian service in February this year.

MGI buys Omega stake

MICHAEL HOBBS  |  WEDNESDAY, 14 MAY 2008
... and asset liability matching services for institutional clients. The firm has attained an Australian Financial Services Licence (AFSL) and is expected to launch its first product in two months. Although Vassos would not provide any specific information ...

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 ...