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Showing 21 - 30 of 48 results for "Audit report"

ASIC suspends Melbourne-based AFSL

ELIZA BAVIN  |  WEDNESDAY, 11 DEC 2019
... regulator said Australian Golden Securities, formerly AFS Capital Securities, has failed to lodge it's accounts and audit report as a licensee for the year ending 30 June 2018, lodge reports or compliance plan auditor reports for the registered managed ...

Queensland-based AFSL suspended

ELIZABETH MCARTHUR  |  TUESDAY, 10 SEP 2019
... meeting its obligations as a licensee. The regulator said Financial Options Pty Ltd failed to lodge its accounts and audit report for the year ending 30 June 2018, have a dispute resolution system and maintain organisational competence or the resources ...

ASIC moves against SMSF auditor misconduct

HARRISON WORLEY  |  TUESDAY, 23 JUL 2019
... with his CPD requirements according to ASIC. Finally, Geoffrey Wood was disqualified for signing an inappropriate audit report and failing to provide audit files to the ATO on time despite multiple requests. In addition to the three disqualifications ...

AUSTRAC zeroes in on Afterpay

HARRISON WORLEY  |  MONDAY, 17 JUN 2019
... Afterpay would pay for the audit, with the extent of its determination to be decided by the regulator. A preliminary audit report is required by the regulator within 60 days.

Australian fund caught in email scandal

ELIZABETH MCARTHUR  |  FRIDAY, 12 APR 2019
... officer is a former chief operating officer of JP Morgan Chase Australia. The findings, released in a performance audit report on the fund conducted by the Auditor General, show the NAIF failed to implement a proper Protective Security Policy framework. ...

Dover exit renews self-licensing calls

ALEX BURKE  |  MONDAY, 25 JUN 2018
The collapse of Dover Financial Advisers has left more than 400 advisers with a narrow 30-day window to sign on with a new licensee, renewing calls for a more straightforward self-licensing regime. It's unclear at this stage where those 400 advisers ...

ASIC issues warning over Dover advisers

JAMIE WILLIAMSON  |  WEDNESDAY, 13 JUN 2018
Advice licensees considering onboarding ex-Dover Financial Advisers' authorised representatives have been warned to ramp up due diligence processes by the corporate regulator. As the fallout from Dover's shock closure continues, ASIC has reinforced ...

ASIC cancels AFSL, bans former executives and fund managers

JAMIE WILLIAMSON  |  TUESDAY, 30 MAY 2017
The AFSL of an international foreign exchange brokerage service provider was cancelled by ASIC for non-compliance. The Australian arm of Gallop International was found to have repeatedly failed to comply with the conditions of its licence and its obligations ...

Dion Global targets IRESS market share with new platform

MARK SMITH  |  MONDAY, 6 JUN 2016
Captial markets fintech Dion Global is attempting to carve out a portion of IRESS's market share with the launch of a new retail trading platform, TCPro. The new system gives retail traders institutional-level capabilities they can't currently access ...

Perth toll road an opportunity for super funds

DARREN SNYDER  |  WEDNESDAY, 22 JUL 2015
... sale is expected to be decided by a future WA government. Among the 81 findings in the Australian Infrastructure Audit Report released in April, was a statement that said over recent years, rates of public and private investment in infrastructure have ...