Search Results | Showing 21 - 30 of 600 results for "Authorised Representative" |
| | | ... and follows its investments in Avalon Financial Services and SWR Chartered Accountants to double its authorised representative count to 80 across Australia last month. In October, AWAG acquired a 20% stake in First Mutual, as it continues to conduct ... |
| | | | ... obligations when recommending clients to invest in the Global Capital Property Fund (GCPF) while he was a UGC authorised representative. ASIC was also concerned Petrovic did not act in his clients' best interests by providing inappropriate advice. ... |
| | | | ... banned from providing financial services for seven years over a series of misconduct when he was an authorised representative of MWL Financial Services (MWL) and United Global Capital (UGC). Van Coppenhagen was authorised by UGC from April 2018 to July ... |
| | | | The Federal Court has ordered licensee RM Capital to pay a $575,000 penalty and its authorised representative SMSF Club to pay $350,000 over conflicted remuneration breaches. The penalties follow ASIC succeeding in its case against RM Capital in 2024 ... |
| | | | Australian Wealth Advisors Group (AWAG) has made two strategic investments, in Avalon Financial Services and SWR Chartered Accountants, doubling its authorised representatives from 40 to 80 across Australia. Avalon is a Sydney-based company specialising ... |
| | | | The professional indemnity insurance (PII) sector will be forced to play a bigger role in making the Compensation Scheme of Last Resort (CSLR) sustainable, Assistant Treasurer Daniel Mulino proposes, as the Opposition slams the scheme for "constantly ... |
| | | | AMP has settled a class action brought by Shine Lawyers in 2020, which claimed the firm's financial advisers breached their fiduciary and statutory duties to an estimated 100,000 clients. The AMP commissions and insurance class action was commenced ... |
| | | | ... framework to prepare for the upcoming changes. According to the AML/CTF Act, a financial adviser or an authorised representative of an Australian financial services licence (AFSL) is providing an item 54 designated service, which requires the service ... |
| | | | ASIC is taking legal action against MWL Financial Services, its former director Nicholas Maikousis, and lead generator Imperial Capital Group Australia over alleged Shield advice failures. ASIC alleges that MWL operated a business model that provided ... |
| | | | ASIC is taking Interprac Financial Planning to court over its failure to ensure representatives acted in clients' best interests. It's also been accused of lacking adequate risk management systems. The regulator said it was because of "critical ... |
|