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Showing 41 - 50 of 107 results for %22Australian Financial Services Pty Ltd%22

ASIC imposes AFSL conditions on Lionsgate

ALEX DUNNIN  |  THURSDAY, 7 MAR 2013
ASIC has imposed additional conditions on the Australian financial services licence of NSW-based Lionsgate Financial Group Pty Ltd following a surveillance of its advice business. According to the regulator, Lionsgate currently has 103 authorised representatives ...

ASIC takes action against Storm adviser

BEN COLLINS  |  THURSDAY, 22 NOV 2012
... customers may have been advised to only put their money in the one investment strategy recommended by Storm, said the Australian Securities & Investments Commission (ASIC). ASIC said that after its investigation, it was also concerned that while he worked ...

34 months prison for ex- GuardianFP adviser

BEN COLLINS  |  TUESDAY, 13 NOV 2012
... Court after pleading guilty on 26 June 2012 to two counts of dishonest conduct in relation to financial services. An Australian Securities & Investments Commission (ASIC) investigation discovered that Heathwood made 65 false insurance applications between ...

ME Bank appoints new directors

STAFF JOURNALIST  |  MONDAY, 5 NOV 2012
... Private Media Pty Ltd, Scottish Pacific Business Finance Pty Ltd, UNICEF Australia and Powerlinx. She is a member of the Australian Institute of Company Directors, State Library of Victoria Foundation Council, Strategic Management Society, and a Council ...

Paragem signs ex-Securitor practice

BEN COLLINS  |  WEDNESDAY, 3 OCT 2012
Independent Australian Financial Services License (AFSL) provider Paragem has signed Ford + Scott Financial Planning Pty Ltd, after the Tasmanian-based business resigned from Westpac's Securitor AFSL. "We've enjoyed a long and successful relationship ...

Harsh ASIC ban on Seagrim slashed

BEN COLLINS  |  FRIDAY, 7 SEP 2012
... government-funded compensation scheme. The ATT provides independent review of a wide range of administrative decisions made by the Australian Government and some non-government bodies, and can make orders in line with the powers of the organsiation which ...

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 ...

ETSL appoints superannuation chair

BEN COLLINS  |  TUESDAY, 14 AUG 2012
... for the last six years. O'Donnell has over 32 years experience in the finance sector, including managing director of Australian Ethical Investment. She has also been a director of the Financial Services Council, The Centre for Australian Ethical Research ...

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 ...

MDS Financial CEO resigns

BEN COLLINS  |  THURSDAY, 19 JUL 2012
... the group. MDS Financial Group is a full-service corporate advisory and capital markets specialist with clients in Australian and the Asia-Pacific region.