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Showing 311 - 320 of 354 results for "Australian Financial Services Licence"

Former financial adviser guilty of fraud

... from acting as a representative of a securities dealer, investment adviser or holder of an Australian Financial Services licence on 1 July 2002.

ASIC provides guidance about Choice advice

... released a guide to help individuals and organisations, namely employers, who do not hold an Australian financial services licence (AFSL) and are likely to give advice to employees about choice of superannuation fund legislation. The guidance is designed ...

Class action filed against retirement fund managers

AAP  |  FRIDAY, 10 JUN 2005
... Australian Securities and Investments Commission (ASIC) in 2003 that banned them from holding an Australian Financial Services Licence for 10 years. The undertakings were given after an Australian Prudential Regulation Authority inspection found LifeTrack ...

ASIC to scrutinise accountants' SMSF advice

... administer the fund, and where an accountant has not informed a client he or she does not hold an Australian Financial Services Licence (AFSL) and as such cannot provide financial product advice and has not recommended the client seek advice from an ...

ASIC moves against a high-yield investment scheme.

... Biograd Filters Pty Ltd and operating a financial services business without obtaining an Australian Financial Services Licence. The court has also extended its injunctions against Victor Lynas, James Lynas and Christine Lynas all of Kuraby from operating ...

Beware of fake international 'regulators'

... ASIC recommends investors make their purchases exclusively through a business holding an Australian financial services licence. Tanzer says, "If you want to check if an overseas share market regulator really exists, start with the International Organisation ...

Millennium boosted by three-way merger

... Financial Services and WLM Partners - Chartered Accountants. WLM Financial Services will hold an Australian Financial Services Licence and will perform the financial advisory function for the group. WLM Partners - Chartered Accountants will offer the ...

Specialist training courses now available for SMSFs

... superannuation. Under Policy Statement 146 "Licensing: Training of financial product providers", an Australian Financial Services Licence holder, or representative of a licence holder, providing advice about SMFSs must have completed an approved Tier ...

AFSLs growing in number

ASIC has revealed the total number of Australian Financial Services Licences (AFSLs) stood at 4,101 after it issued 363 additional AFSLs since March last year. Over the period the regulator also approved 582 variations to existing AFSLs and was notified ...

Licensing relief for securitisation special purpose vehicles

... providing custodial services for financial products, an exemption from having to obtain an Australian Financial Services Licence (AFSL). The relief is effective as of 1 July 2005 under 'Class Order 04/1526: Securitisation special purpose vehicles'. ASIC ...