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Showing 321 - 330 of 357 results for "Australian Financial Services licence"

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 ...

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 ...