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Showing 291 - 300 of 425 results for "Financial Services business"

Co-operation key to avoiding pain from ASIC

MARK SMITH  |  THURSDAY, 21 FEB 2013
Financial services firms who come under fire from the Australian Securities and Investments Commission (ASIC) are better off working with the regulator than prepare for a legal battle, according to a law firm specialising in the area. A seemingly endless ...

Back-off super: FSC missive to Canberra

BEN COLLINS  |  THURSDAY, 7 FEB 2013
All Australian political parties have been told to leave superannuation laws alone by the Financial Services Council, which said that the industry has 'had enough'. Financial Services Council chief executive John Brogden this morning hit out at politicians ...

PhillipCapital boosts local presence

MARK STORY  |  FRIDAY, 18 JAN 2013
Singapore-based integrated financial house, PhillipCapital launched in Australia this week following the rebranding of Australian broking and advisory firm Octa Phillip. The move is expected to boost PhillipCapital's scale in Australia across wealth ...

Select Asset Management acquires Total Fund Services

MARK SMITH  |  THURSDAY, 13 DEC 2012
Investment management group Select Asset Management has acquired Australian financial services business Total Fund Services (TFS) today for an undisclosed amount. TFS provides specific regulatory services to Australian managed investment schemes, acting ...

Mortgage Choice Financial Planning open for business

MARK SMITH  |  TUESDAY, 11 DEC 2012
... insurance, our customers sit right across these growth segments and we know that by transitioning to a financial services business that we'll be able to satisfy their complete needs," explained Milnes. Over the next six months, Mortgage Choice Financial ...

Adviser permanently banned after eight year fraud

ALEX DUNNIN  |  WEDNESDAY, 5 DEC 2012
... restraining Roach Graham Scott Pty Ltd (RGS), a company of which Scott was sole director, from carrying on a financial services business or providing a financial service. The Court declared that between 9 February 2004 and 27 April 2012, both Scott and ...

Unlicensed director jailed

BEN COLLINS  |  THURSDAY, 6 SEP 2012
... 10 investors to cover losses she had made from trading investors' funds. Oakley also carried on a financial services business between 27 January 2009 and 1 November 2009 without holding an Australian financial services license. ASIC deputy chairman Belinda ...

Former investment company director pleads guilty

MELANIE TIMBRELL  |  MONDAY, 23 JUL 2012
... to cover losses she made from trading investors' funds. ASIC also accused Oakley of carrying on a financial services business between January 2009 and November 2009 without holding an Australian Financial Services (AFS) licence. The majority of the investors ...

ASIC closes in on SMSF advice firms

LINDA HAUSKEN  |  FRIDAY, 13 JUL 2012
... and ActiveSuper has failed to comply with financial services laws including operating an unlicensed financial services business and the provision of misleading and deceptive information to investors. Three days ago, the Federal Court in Melbourne have ...

ASIC bans unlicensed Sydney adviser

LINDA HAUSKEN  |  THURSDAY, 12 JUL 2012
... false and misleading statements in relation to financial products. Broederlow was also operating a financial services business without holding an Australian financial services licence for his RNN Property company. Australian Securities & Investments ...