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Showing 21 - 30 of 107 results for %22Australian Financial Services Pty Ltd%22

Queensland-based AFSL suspended

ELIZABETH MCARTHUR  |  TUESDAY, 10 SEP 2019
... provide the financial services covered by its licence. Financial Options has since applied for membership with Australian Financial Complaints Authority (AFCA). Financial Options' licence has been suspended until 26 February 2020 - that period should ...

AAT upholds AFSL rejection

OSKAH DUNNIN  |  TUESDAY, 15 JAN 2019
ASIC's decision to reject Michael David Watson's Australian Financial Services (AFS) Licence (AFSL) was recently upheld by the Administrative Appeals Tribunal (AAT). Watson had applied for an AFSL license to provide advice for self-managed superannuation ...

IMAP awards managed accounts excellence

KARREN VERGARA  |  THURSDAY, 2 AUG 2018
... Innovation Dynamic Asset Consulting Elston Asset Management (winner) Financial Simplicity Fincast Managedaccounts.com.uu Australian Equities Bennelong Australian Equity Partners DFS Portfolio Solutions DNR Capital Macquarie Investment Management SG Hiscock ...

ASIC cancels Melbourne firm's AFSL

KANIKA SOOD  |  THURSDAY, 17 MAY 2018
ASIC has cancelled the Australian financial services (AFS) licence of a Melbourne-based advice firm, which was among a trio of companies that copped a $7.2 million fine from the corporate regulator in February. ASIC took Wealth & Risk Management Pty ...

ASIC successfully files injunction against Melbourne advice provider

JAMIE WILLIAMSON  |  MONDAY, 15 JAN 2018
... Financial Circle Pty Ltd breached the Corporations Act 2001, the National Consumer Credit Protection Act 2009 and the Australian Securities and Investments Commission Act 2001, including breaches of the best interests duty and unlicensed conduct. As ...

Insurer must refund $330k

EMMA RAPAPORT  |  WEDNESDAY, 21 JUN 2017
... they paid for the policy," ASIC said. As a result, ASIC has placed conditions on Virginia Surety's Australian financial services licence. It must: Refund the life premium paid by affected customers plus interest; Engage an independent external compliance ...

Colonial First State appoints independent super director

DARREN SNYDER  |  MONDAY, 2 NOV 2015
... Management Australia from 2005 to 2009 and senior advisor to UBS from 2009 to 2013. She is also a trustee director for The Australian Catholic Superannuation and Retirement Fund and chair of the investment committee; a non-executive director of the Australian ...

ASIC cancels boutique's AFSL

HARRY PAGE  |  THURSDAY, 18 DEC 2014
Boutique Protect Ensure Pty Ltd has had its Australian financial services (AFS) licence cancelled by the Australian Securities and Investments Commission (ASIC) following a suspension of its licence earlier this year. ASIC suspended Protect Ensure's ...

ASIC bans former Synchron adviser

STAFF WRITER  |  TUESDAY, 23 SEP 2014
The Australian Securities and Investments Commission (ASIC) has banned a former Synchron financial adviser from providing financial services for five years for failing to provide Statements of Advice (SOAs). Michael Richard Irwin, a Rockhampton-based ...

Mercer appoints two independent directors

JAMES FERNYHOUGH  |  WEDNESDAY, 30 JUL 2014
Mercer has appointed three new directors to its Australian entity boards, including two new independent non-executive directors. Melissa Babbage will join the Mercer Investments (Australia) Limited (MIAL) board, while Jan Swinhoe will join both the ...