Search Results | Showing 21 - 30 of 1940 results for "licensee" |
| | | ... adequate financial resources, technological systems and staffing, and was likely to breach its general obligations as an AFS licensee. ASIC said GFA may apply to the Administrative Review Tribunal for a review of the decision. While its licence is suspended ... |
| | | | ... administration business from Melbourne. The Hong Kong-based firm is acquiring Polar 993, an Australian financial services licensee providing trustee, responsible entity, custody, and compliance services for fund managers across private equity, venture ... |
| | | | Local experts are observing a growing investment opportunity in Australian advice platforms that may not be as apparent for global investors, but since the sector is currently at its "infancy", many can capitalise on buying low and selling high. Speaking ... |
| | | | ... Among its key recommendations are annual AFSL renewals, biannual supervisory engagement between ASIC and every advice licensee, a dedicated risk-based supervision program for high-risk firms, and changes to the ASIC industry levy to fund the expanded ... |
| | | | A new report indicates that Australian Qualifications Framework (AQF) 7 qualifications are the most common forms of qualification among financial advisers, held by 85% of the population. Taking into account the new professional standards reforms, which ... |
| | | | ASIC is simplifying the sell-side regulatory guidance in a move to spike capital raising activity, in line with its simplification effort which commenced in September 2025. The proposed revamp of Regulatory Guide 264 Sell-Side Research (RG 264) is in ... |
| | | | Grab a shopping cart and enter the investment supermarket. The shelves are stacked - an Aussie large-cap fund here, an ETF there, a fixed-income fund somewhere near the back, past the alternatives nobody quite understands. There is an estimated $1 trillion ... |
| | | | HUB24 performed soundly in the quarter ending 30 June 2026, with total funds under administration (FUA) increasing 20% from the previous corresponding period to $164.3 billion. The total FUA comprised platform FUA of $139.5 billion (up 24%) and portfolio ... |
| | | | ... well understood pathway to transfer advisers and clients to another business and continuing to operate under a different licensee, whilst leaving the cost of outstanding complaints to be picked up by other innocent operators in the profession through ... |
| | | | ASIC reported a 71.7% pass rate in the latest round of financial adviser exam results. Some 209 people sat the exam, including 137 first-timers, in June. Of the first-timers, 75.9% or 104 passed the exam. To date, 22,748 individual candidates have sat ... |
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