Search Results | Showing 441 - 450 of 980 results for "AFSL" |
| | | ... wrongly charged fees were retained by Asgard as revenue, ASIC alleges. In doing so, Asgard contravened its obligations as an AFSL holder to act efficiently, honestly and fairly. In 2018, the Royal Commission revealed that BT and Asgard charged about ... |
| | | | ... from the Financial Planning Association of Australia (FPA) that an overhaul of the Australian financial services licence (AFSL) system could be the solution to the industry's woes. "By killing a system where advisers can join an AFSL which is responsible ... |
| | | | ... compliance so that they report directly to the Synchron board. According to Rainmaker data from June, AMP is the largest advice AFSL in Australia with 1025 registered advisers, a 4.7% market share. The second largest is the SMSF Adviser Network, an AFSL ... |
| | | | ... litigation funders to be subject to greater regulatory oversight. "Litigation funders are currently exempt from holding an AFSL and being categorised as a managed investment scheme," Frydenberg said. "As a result, litigation funders do not face the same ... |
| | | | ... the defendants contravened the Corporations Act by operating the unregistered scheme and also failed to hold the required AFSL to do so. It has barred the defendants from carrying out financial services in Australia without holding an AFSL. "The conduct ... |
| | | | ... regulation is required, but along with many other submissions I've read, I don't think the managed investments scheme or the AFSL would be the most appropriate method to do that, and I don't think regulation for litigation funders is something that is ... |
| | | | ... principal, and was a member and chair of the investment committee, management team and a responsible manager on William Buck's AFSL and credit license. Prior to this, he worked at BW Capital as executive manager, Arthur Andersen Business Consulting ... |
| | | | ... litigation funders. Litigation funders have been under the spotlight recently, with new legislation requiring them to have an AFSL to operate in Australia. De Ferrari said he welcomed this new scrutiny of litigation funding, and that he was worried the ... |
| | | | ... clients live their best lives. "We are excited to have partnered with Wealth Today to help enable the advisers under their AFSL with more opportunities to do that." Jack Standing, Wealth Today's national head of the advice team, welcomed the IMA offering ... |
| | | | ... giving general financial advice and, on several occasions, provided personal advice." Earlier in the year, ASIC cancelled the AFSL of Forex Capital Trading after it found that the brokerage's business model disregarded key licensee obligations, resulting ... |
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