Search Results | Showing 301 - 310 of 1685 results for "Register" |
| | | ... responsibilities, he said. "Around half of advice practices surveyed are still maintaining a manual complaint and breach register - a certain drain on efficiency and a clear opportunity for the industry," Mitchell said. |
| | | | ... Administrative Appeals Tribunal, ASIC's current ruling stands firm. Sutton's ban is recorded on ASIC's banned and disqualified register. |
| | | | Cbus is poised to deliver solid results for its members this year, forecasting a return of about 8.5%, according to newly appointed chief investment officer Brett Chatfield. Speaking with Financial Standard, Chatfield credited the result to a combination ... |
| | | | ... Blackaby was licensed through Capstone Financial Planning from November 2016 to 16 June 2023. The ASIC Financial Adviser Register shows he has now ceased, with the terms of the undertaking being that he cannot carry on a financial services business ... |
| | | | 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 ... |
| | | | ... tested in the exam, ASIC said. About 15,810 are recorded as current financial advisers on ASIC's Financial Adviser Register (FAR). Nearly 3000 have ceased practising as advisers on the FAR and but can be re-authorised in the future. Some 950 passed ... |
| | | | ... existing investment," ASIC said. "Investors that accepted the offer did not receive certificates or appear on the Unitholder Register." Additionally, ASIC said, Fox represented that he had gifted investors equity through shares in Pleasure Point Mine. ... |
| | | | The superannuation gender balance gap has slightly worsened, fresh Australian Taxation Office (ATO) figures reveal, as it crawls toward 21%. During the 2021 financial year men's super balance held $189,892, while women had 21% less on average at $150,922. ... |
| | | | ... three months in 2015 and then by Diverse Advisers between June 2015 and June 2019, according to ASIC's Financial Adviser Register. ASIC alleges that, between 2017 and 2021, Arandez promoted and carried on a financial services business at which he directed ... |
| | | | ... broker, clearing agency, and national securities exchange when it was not registered to. It was also charged for failing to register the offer and sale of its crypto asset staking-as-a-service program. According to the SEC's complaint, since at least ... |
|