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Showing 21 - 30 of 118 results for "Licenses"

ASIC grants compliance scheme relief

HARRISON WORLEY  |  WEDNESDAY, 16 OCT 2019
... original January 1 2020 deadline. As a result, the corporate regulator has moved to grant a three-year exemption to all AFS licenses from the obligation. Though ASIC said licensees would still need to take reasonable steps to ensure their advisers complied ...

Fintech off to slow start in 2019: KPMG

KRISTI CHENG  |  TUESDAY, 6 AUG 2019
... finance, are growing rapidly in China, and major strides were made in Hong Kong with the issuance of eight virtual banking licenses. KPMG said the next 12 to 24 months will be a critical period for many platforms that haven't been able to achieve ...

Westpac reveals Magnitude, Securitor adviser remediation

HARRISON WORLEY  |  WEDNESDAY, 1 MAY 2019
... accounting assumptions in relation to authorised representatives who operated under the Magnitude and Securitor advice licenses between 2008 and 2018. This is expected to cover the bank for remediation payments up to $297 million, as well as $138 million ...

ASIC approves AMP for MDAs

HARRISON WORLEY  |  TUESDAY, 9 APR 2019
... 2016, licensees have been transitioning away from ASIC's previous no-action position on MDA services, to modified licenses allowing them to deal in MDAs on regulated platforms. That transitionary period expired in 2018 and as such, AMP's advice ...

SG Hiscock, DMP Asset Management to merge

HARRISON WORLEY  |  WEDNESDAY, 27 MAR 2019
... respective existing solutions to investors. Both SG Hiscock and DMP will retain separate Australian Financial Services Licenses, enabling the merged entity to operate on two fronts, using the brands of both businesses simultaneously. SGH will be responsible ...

Why indexing is big business

KARREN VERGARA  |  TUESDAY, 4 DEC 2018
... from its index business, according to SEC filings. For the majority of its indices, analytics and ESG products, MSCI licenses annual, recurring subscriptions in return for a fee. About a third (36%) or US$458.3 million of revenues came from analytics. ...

ASIC strips Melbourne firm of AFSL

KANIKA SOOD  |  MONDAY, 3 DEC 2018
... implement financial advice from the firm. Financial Circle's Australian financial services licence and Australian credit licenses were cancelled on November 19, ASIC said recently in a release. Financial Circle offered personal loans to consumers of ...

ASIC to review FDS compliance

HARRISON WORLEY  |  TUESDAY, 16 OCT 2018
ASIC will review financial advice fee disclosure statements and renewal notices, after licenses submitted breach reports to the extent the corporate regulator is concerned about systemic non-compliance. The FDS review will examine to what extent advice ...

Sargon Capital acquires Decimal

JAMIE WILLIAMSON  |  FRIDAY, 21 SEP 2018
... products. Decimal will bring another dimension to this capability," he said. "We have a diversified portfolio of financial licenses across Australia, New Zealand and Hong Kong. These licenses, combined with our team's deep technology and industry ...

BTFG flags platform overhaul

HARRISON WORLEY  |  MONDAY, 23 JUL 2018
... being self-licensed. That [going independent] requires services to facilitate them running a business under their own licenses. We've rolled out that capability [BT Open Services] to assist advisers who are doing that," Cooper said. Cooper added ...

Editor's Choice

Invesco launches new equity fund

ELIZA BAVIN
Invesco said the new fund will give Australian investors access to a systematic global equity strategy with a 20-year track record.

FCA pursues Neil Woodford again

KARREN VERGARA
The Financial Conduct Authority (FCA) is going after failed fund manager Neil Woodford again, this time for allegedly providing unauthorised investment advice via W4.0, his Dubai-based investment platform.

Former APRA deputy chair launches retirement solutions startup

KARREN VERGARA
A former APRA deputy chair has launched CipherIQ, a new venture that provides retirement solutions via account-based pensions in partnership with superannuation funds, financial advisers and retirees.

Global X launches space tech ETF

MATTHEW WAI
Global X has now launched the space tech ETF (ASX: MOON).

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