Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 321 - 330 of 354 results for "Australian Financial Services Licence"

ASIC bans unlicensed advisers

... superannuation funds to dissatisfied superannuation fund members. At the time Manito did not hold an Australian financial services licence. ASIC deputy executive director of enforcement Allen Turton said "people need to check that they are getting advice ...

ASIC shuts down currency trading websites

... regulator became aware that three Australian-based businesses were operating without holding an Australian financial services licence (AFSL). The businesses were exchanging conventional currencies to electronic currencies and vice-versa and charged commission ...

Unlicensed company stopped from issuing securities

... from offering financial products and conducting a financial services business without an Australian financial services licence (AFSL) after the company was caught advertising 'risk free' returns of 10 per cent per annum on loans provided to it. Ameya ...

Mortgage broker banned

... misleading and deceptive conduct and conducted a financial services business without holding an Australian financial services licence. Mr Wynhoven misled and deceived investors when he convinced them to provide him with around $1.2 million to invest ...

Gold Coast wealth creation seminars stopped

... after finding he and his organisation were providing financial advice without holding an Australian financial services licence, and were operating managed investment schemes without registering them as is lawfully required. Under the court orders Oneworld ...

ASIC clarifies breach notification requirements of AFSLs

Reporting breaches for Australian financial services licence (AFSL) holders should be easier after ASIC released guidelines of breach notification requirements including examples of breaches, what to include in a breach report and how to inform ASIC ...

ASIC cancels Halifax Partners' Australian financial services licence

ASIC has cancelled the Australian financial services licence of Halifax Partners (Halifax) upon request by the company's sole director Mr Jason Foote. Halifax had earlier been subject to an investigation by ASIC regarding contraventions of the Corporations ...

Wealth-creation seminar promoters comply with undertakings

AAP  |  THURSDAY, 22 JUL 2004
... undertakings from the promoters, Vision Pursuit, because neither Vision Pursuit nor Allen hold an Australian financial services licence (AFSL). ASIC said it had previously raised concerns with Vision Pursuit about references to financial product advice ...

FPA says 97% of principal members FSR compliant

... 576 principal members - or 97% - have either obtained or have applications pending for an Australian Financial Services Licence (AFSL) and will be compliant come the Financial Services Reform (FSR) transition date on March 11. FPA chief executive Kerrie ...

CPA Australia welcomes FSRA allowances

... then that advice does not constitute financial product advice and should not require an Australian Financial Services Licence under FSRA," Larsen said.