Search Results | Showing 381 - 390 of 1904 results for "licensee" |
| | | The corporate regulator suspended Quantum Funds Management Limited (QFML)'s AFSL and cancelled that of AFSL Group. The suspension of QFML follows the ban of its managing director Peter Gribble for failing to pay $2.5 million in Australian Financial ... |
| | | | Diverger has acquired AFSL Compliance, a licensee support business, with a focus on delivering market leading solutions to self-licensed firms. The financial services company explained although it already provides services to both licensed and self-licensed ... |
| | | | ... exam. "To make sure new financial advisers are issued an exam eligibility number in time to book for an exam, their AFS licensee should apply for an exam eligibility number through the ASIC Regulatory Portal no later than 15 days before the last day ... |
| | | | ... conduct, made false or misleading representations and contravened its obligations as an Australian financial services licensee by incorrectly charging monthly access fees to customers. The regulator alleged that, between June 2010 and September 2019 ... |
| | | | ... already be deemed registered because of being registered with the Tax Practitioners Board, but others will need their licensee to register them. When Marshan asked the crowd to raise their hand if they were aware of this requirement, almost no hands ... |
| | | | ... work with a range of clients from mass affluent through to high-net-worth. This cohort also comprised of advisers from licensee groups and self-licensed advisers, both users and non-users of managed accounts. "The consultation process revealed that advisers ... |
| | | | The Connectivity Network aims bring participants together to streamline and simplify the advice execution process, thereby increasing the number of clients advisers can serve. It will directly connect platforms and insurance providers with advice softwares. ... |
| | | | ... responsibilities and timeframes. According to Fortnum's group chief executive and managing director Neil Younger, traditional licensee services are fast becoming "commoditised" forcing licensees to "innovate and differentiate" to meet the changing needs ... |
| | | | ... additional guidance on liquidity management, stress testing, and valuations practices. APRA said it expects that an RSE licensee would demonstrate adequate liquidity management practices equal with the nature, risk, and complexity of investments and ... |
| | | | ... costs, APRA proposes to introduce the baseline component requirements," the discussion paper said. "This means that an RSE licensee will have to maintain access to a specific pool of financial resources to enable these actions to take place." Meanwhile ... |
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