Search Results | Showing 41 - 50 of 952 results for "AFSL" |
| | | ... support continuity of service for their clients. Advisers may also be supported, where appropriate, in pursuing their own AFSL or transitioning to another licensee of their choosing, including through compliance and support services available within ... |
| | | | ... there before and come out the other side stronger." Disclaimer: Perennial Investment Management Limited ABN 13 108 747 637, AFSL 275101 (PIML) is the issuer of this investment product. Past performance is not a reliable indicator of future performance. ... |
| | | | ... (PWM) and related companies, Professional Wealth Management Services (PWMS) and Professional Wealth Investments. PWMS held an AFSL until it was cancelled by ASIC in 2023. PWM was involved in developing a technology for robotic trading across a range ... |
| | | | ... managed investment schemes. This includes hiring former ASIC commissioner Danielle Press as independent chair of its inaugural AFSL Governance Committee. Last November, ASIC commenced civil penalty proceedings in the Federal Court against InterPrac. ... |
| | | | To thrive in providing SMSF advice, financial advisers must gain specialist skills, technical competencies and work on strengthening their professional judgement, according to the SMSF Association. Advisers are urged to do better particularly in the ... |
| | | | ... is deliberately exploited by some lead generation firms that specifically structure their business so as to not require an AFSL. ASIC said it will continue to update the list of known entities as the information comes to hand, noting that some names ... |
| | | | ... financial advice licence margin that Astute currently derives from Astute-aligned advisers operating under Centrepoint's AFSL," the ASX-listed firm said. The lending solutions business supports brokers and advisers with a credit licence, technology ... |
| | | | ASIC has cancelled the Australian financial services licence (AFSL) of Pulse Markets, a wholly owned subsidiary of BIR Financial, for providing incompetent financial services, including inadequate supervision of its corporate authorised representatives ... |
| | | | ASIC has imposed additional conditions on the Australian financial services licence (AFSL) of Cambridge Mercantile's local branch, following ongoing compliance failures in its foreign exchange derivatives business. The Corpay subsidiary misclassified ... |
| | | | ... place." This marks the first time the Federal Court has imposed civil penalties for cyber security failures under the general AFSL obligations, which she said sets a clear expectation regarding cyber resilience. "Clients entrust licensees with sensitive ... |
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