Search Results | Showing 561 - 570 of 940 results for "AFSL" |
| | | ... criminal activity. "There is a penalty regime now, it's really important people understand, because for them to abuse their AFSL or act improperly with it, the consequences are massive," Robert said. "If 10 years in prison isn't a wakeup call to executives ... |
| | | | ... which will complete by October 31. Additionally, Blue Sky told investors and ASIC on 31 August 2018 that it breached its AFSL requirement by not meeting its net tangible asset (NTA) requirements in June, July and August. The breach arose from the time ... |
| | | | ... allow foreign companies that provide financial services to Australian wholesale clients to continue without the need of an AFSL until 30 September 2019. The corporate regulator announced in June it was proposing a modified licensing regime for foreign ... |
| | | | ... Investments has acquired a company which authorises accountants to provide SMSF advice services. The SMSF Expert has a limited AFSL and runs a subscription-based model, providing dealer services including compliance, training, technical support and para ... |
| | | | ... educated professionals who just want to be recognised in the new proposed FASEA regime - including those members with a limited AFSL," Speed said. Already adhering to the APES 110 Code of Ethics and TPB Code of Professional Conduct, chartered accountants ... |
| | | | ... webinars and a website and then charging up to $5000 for access to that product. At the time, neither Pousa nor IIC held an AFSL or any other authorisation. Investors suffered significant losses and the Dutch Fiscal Police are currently pursuing criminal ... |
| | | | ... July 6 deadline, but latest ASIC Financial Adviser Register data shows more than 100 financial advisers are still without an AFSL or have left the industry. Of the 394 Dover advisers that were active as at June, 293 have managed to find a new licensee ... |
| | | | ... Corporations Act prior to repeal. Under the EU, Allen is also prohibited from acting as a director or manager of any kind within an AFSL for three years. In addition to being an authorised representative of MyPlanner, he is also a director of Future ... |
| | | | ... NobleOak Life, Suncorp Life & Superannuation, TAL Life, and OnePath, St Andrew's Life Insurance and its distributor Select AFSL, and Hannover Life Re. After listening to more than 540 recorded sales calls, ASIC said four firms failed to provide adequate ... |
| | | | A privately-owned AFSL has acquired the financial advice business of a GROW Super co-founder. Profile Financial Services confirmed it has bought the client book of Churpa Wealth, the advice firm established by GROW Super co-founder Mathew Keeley in ... |
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