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Showing 561 - 570 of 885 results for "Australian Financial Services"

Unlicensed director jailed

BEN COLLINS  |  THURSDAY, 6 SEP 2012
... on a financial services business between 27 January 2009 and 1 November 2009 without holding an Australian financial services license. ASIC deputy chairman Belinda Gibson said dishonest behavior by directors would not be tolerated. "Directors must act ...

ClearView positive about CCP takeover offer

LINDA HAUSKEN  |  THURSDAY, 30 AUG 2012
... execution of its profitable growth objectives," he explained. ClearView Wealth is a diversified Australian financial services company with businesses that provide integrated life insurance, wealth management and financial planning solutions.

New AFS CEO

BEN COLLINS  |  WEDNESDAY, 15 AUG 2012
Former ANZ advice executive Alan Logan has been revealed as the new chief executive officer of Australian Financial Services (AFS). Logan joins AFS from private consultancy Bombora Advice, and before this was general manager for ANZ Advice and Distribution. ...

ASIC targets securities dealers

MELANIE TIMBRELL  |  TUESDAY, 14 AUG 2012
... supervision report is the first to include information on the regulator's reviews of securities dealers - Australian Financial Services (AFS) licence holders who are not market participants but who sell securities products via a market participant. In ...

ASIC cancel Morrison Carr AFSL

LINDA HAUSKEN  |  TUESDAY, 31 JUL 2012
Australian Securities & Investments Commission has cancelled the Australian financial services and credit license of Morrison Carr Financial Services following a surveillance of the national planning business The sole director of Morrison Carr Financial ...

Model FATCA intergov agreement imminent

MELANIE TIMBRELL  |  THURSDAY, 26 JUL 2012
... has the potential to significantly reduce the FATCA compliance burden that will be faced by the Australian financial services industry and will ensure Australian firms are not placed in the position of having to breach local laws in order to comply with ...

Former investment company director pleads guilty

MELANIE TIMBRELL  |  MONDAY, 23 JUL 2012
... carrying on a financial services business between January 2009 and November 2009 without holding an Australian Financial Services (AFS) licence. The majority of the investors affected by the charges live on the Sunshine Coast, although there are some ...

FSC focuses FATCA talk on govt agreement

MELANIE TIMBRELL  |  WEDNESDAY, 18 JUL 2012
... has the potential to significantly reduce the FATCA compliance burden that will be faced by the Australian financial services industry and will ensure Australian firms are not placed in the position of having to breach local laws in order to comply with ...

ASIC eyes off UL property

BEN COLLINS  |  WEDNESDAY, 18 JUL 2012
... identified and assist them in discharging their duties and obligations as responsible entities and Australian Financial Services license holders."

ASIC bans unlicensed Sydney adviser

LINDA HAUSKEN  |  THURSDAY, 12 JUL 2012
... financial products. Broederlow was also operating a financial services business without holding an Australian financial services licence for his RNN Property company. Australian Securities & Investments Commission (ASIC) said that between August 2010 ...