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Showing 331 - 340 of 357 results for "Australian Financial Services licence"

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.

Watchdog takes action over super scheme fraud

... consented to allegations that he carried on a financial services business without holding an Australian Financial Services Licence. This action follows a December application by the Australian Securities and Investments Commission (ASIC). The court orders ...

Lifetrack director on hold for five years: ASIC

... Superannuation Trust. The undertakings require Egan to not act as a director of a company holding an Australian Financial Services Licence, or of a listed investment company, for five years.

ASIC warning on Swiss offer

... of 14% pa in a 'conservative' environment was illegal ASIC said, as Prime did not have an Australian financial services licence.

Capstone expands after adding advisers

... expand its business, after strong growth in 2003 and the addition of new advisers under its Australian Financial Services licence mandate. Capstone managing director Grant O'Riley said the company would open offices in two new states in the first quarter ...

ASIC takes action against company directors

... restrained Mr Camiolo from providing any financial services until he successfully applied for and Australian Financial Services Licence. It also placed Mr Camiolo's companies into liquidation.

Promina listing leads to subsidiary name change, Vero

... Insurance Ltd. The group also announced that Vero had also transitioned successfully to its Australian Financial Services Licence. Promina said the specialist business units that will carry the Vero name include Aviation, Construction and Engineering ...

ASIC clears way for new exchanges to set up in Australia

... director for policy and markets regulation. He said PS 177 provided guidance on when an Australian Financial Services Licence was needed and how to apply for such a licence. "It will also help overseas market operators to understand their obligations ...

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Federal Court calls out ASIC for re-running case on appeal

RIDDHIMA TALWANI

The Full Federal Court of Australia has criticised regulators for falling back on appeals to re-litigate cases on a different legal basis than the one run at trial.

Evergreen founder exits Ascalon Capital

KARREN VERGARA

Ascalon Capital has bid farewell to Evergreen Consultants' founder Angela Ashton, shortly after acquiring the consulting firm last year.

Powerhouse Ventures partners with European fund manager

KARREN VERGARA

ASX-listed Powerhouse Ventures has partnered with an unnamed European fund manager that will commit US$50 million to its fledgling Critical Infrastructure Opportunities (CIO) Fund.

KeyInvest unveils new investment platform, awards mandate

MATTHEW WAI

KeyInvest has launched a new investment platform to include a plethora of investment strategies ranging from private credit to global equities.

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