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Showing 31 - 34 of 34 results for "AFSL holders"

CBA follows ASIC's lead in Senate submission

LAURA MILLAN  |  MONDAY, 18 NOV 2013
... financial services industry." The bank detailed that the information would be available to current and prospective AFSL holders who seek to authorise the financial planner under their AFSL. CBA also suggested that ASIC should be the sole custodian and ...

Trading platform bids to raise industry transparency standards

MARK SMITH  |  TUESDAY, 20 AUG 2013
... we are demonstrating to the market that client money is not an afterthought for Saxo but core to our business as AFSL holders. "By ensuring transparency and security, our clients can focus their energy on core activities of investing and trading," Griffin ...

E*TRADE fee hits planners

MICHAEL HOBBS  |  MONDAY, 25 MAY 2009
... place a $1,250 fee per month if the user does not execute more than 50 contracts in that time. He said currently 10 AFSL holders could be forced to pay the fee as a result of their low activity level. "What we said is we'll start charging for it but ...

Life insurers and 25 AFSL holders under ASIC microscope

The Australian Securities and Investments Commission (ASIC) has launched formal investigations into 25 AFSL holders and will be watching life insurers closely, as a result of its latest license breaches report announced this week. The regulator has ...
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