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Showing 601 - 610 of 940 results for "AFSL"

ASIC cancels Melbourne firm's AFSL

KANIKA SOOD | THURSDAY, 17 MAY 2018

ASIC has cancelled the Australian financial services (AFS) licence of a Melbourne-based advice firm, which was among a trio of companies that copped a $7.2 million fine from the corporate regulator in February. ASIC took Wealth & Risk Management Pty ...

Adviser regulation lacking a professional body, RC hears

KARREN VERGARA | FRIDAY, 27 APR 2018

... January 2017 and prohibited him from working as an adviser until 8 January 2022. At the time, he was under Securitor's AFSL and is currently with Synchron. Tindall was also a member of the FPA. A month after the banning order was issued, the FPA ...

Royal Commission grills professional associations

KARREN VERGARA | THURSDAY, 26 APR 2018

The Royal Commission scrutinised the shortcomings of professional associations' ability to protect clients against inappropriate financial advice and the lack of urgency in resolving complaints. The Commission recommenced with Financial Planning Association ...

Lonsec names group chief executive

KARREN VERGARA | MONDAY, 16 APR 2018

... integrate the business into the netwealth Group." "Importantly it will also remove any confusion with the Paragem Wholesale AFSL which is a separate, privately owned business, and has no financial relationship with the netwealth Group," he said. Last ...

ASIC lifts licence conditions on CountPlus subsidiary

KANIKA SOOD | MONDAY, 16 APR 2018

... September, 2015 ASIC placed additional licence conditions on Total Financial Solutions's Australian financial services licence (AFSL) after an authorised Queensland-based adviser was found to have failed to act in clients' best interests. The regulator ...

Life insurer profitably improving: APRA

KARREN VERGARA | FRIDAY, 2 MAR 2018

... life insurance products not included on the list. "This means where advisers wish to use insurance offerings not part of an AFSL member's life insurance APL that they are not unnecessarily restricted from doing so and the AFSL member will make a decision ...

Former Millennium 3 adviser banned

JAMIE WILLIAMSON | FRIDAY, 2 MAR 2018

... switched to Lonsdale where he served as an authorised representative until April 2016. He was since licensed by Hunter Green, an AFSL controlled by the G & A Hunter Family Trust. At the same time, he also traded as a financial adviser under the business ...

ASIC to target non-compliant advisers and AFSLs

JAMIE WILLIAMSON | THURSDAY, 1 MAR 2018

ASIC has outlined its key initiatives for the coming six months, with a specific focus on the conduct of financial advisers and licensees. Releasing its latest enforcement report, the regulator said it will be paying particular attention to financial ...

Decimal announces key super fund contracts

DARREN SNYDER | TUESDAY, 27 FEB 2018

... milestone a proud moment, especially as it was Decimal's first project in conjunction with Industry Fund Services (IFS) - the AFSL licensee and advice delivery partner for Statewide Super. Statewide Super general manager member engagement and marketing ...

Most investors shun credit ratings: Poll

KARREN VERGARA | MONDAY, 26 FEB 2018

... it came to compliance matters. ASIC found some agency's board did not meet regularly and should do so to comply with its AFSL. It also found that one agency's compliance review was "not of a standard that we would expect from a regulated organisation" ...

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Federal Court calls out ASIC for re-running case on appeal

RIDDHIMA TALWANI

The Full Federal Court of Australia has criticised regulators for falling back on appeals to re-litigate cases on a different legal basis than the one run at trial.

Evergreen founder exits Ascalon Capital

KARREN VERGARA

Ascalon Capital has bid farewell to Evergreen Consultants' founder Angela Ashton, shortly after acquiring the consulting firm last year.

Powerhouse Ventures partners with European fund manager

KARREN VERGARA

ASX-listed Powerhouse Ventures has partnered with an unnamed European fund manager that will commit US$50 million to its fledgling Critical Infrastructure Opportunities (CIO) Fund.

KeyInvest unveils new investment platform, awards mandate

MATTHEW WAI

KeyInvest has launched a new investment platform to include a plethora of investment strategies ranging from private credit to global equities.

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