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Showing 601 - 610 of 885 results for "Australian Financial Services"

OneVue eyes insto investor for global growth

RACHEL DAVIS  |  WEDNESDAY, 2 NOV 2011
... have advisers actively using part of or the full OneVue UMA functions include Yellow Brick Road, Australian Financial Services and Madison Financial Group. Organisations such as Australian Unity Investments and Aviva Investments also continue to be key ...

ASIC annual report highlights industry trends

ELISE BURGESS  |  MONDAY, 31 OCT 2011
... months, up to June 30, the Australian Securities and Investments Commission (ASIC) approved 868 Australian financial services (AFS) licence applications for margin lending facilities financial product authorisations (for existing AFS licence holders) ...

AAT grants stay for AFSL cancellation decision

ELISE BURGESS  |  FRIDAY, 28 OCT 2011
... Financial Services after the Australian Securities and Investments Commission (ASIC) cancelled its Australian financial services licence (AFS licence) on October 19 for not complying with financial services laws. Romad requested AAT review ASIC's decision ...

ASIC suspends Far East AFSL

CLAIRE MCGREAL  |  TUESDAY, 25 OCT 2011
An independent Sydney-based private investment bank has had its Australian financial services license suspended for failing to lodge financial statements. Far East Capital Limited specialises in the resources sector in the junior end of the market and ...

Opus Capital offers EU olive branch to ASIC

ELISE BURGESS  |  FRIDAY, 14 OCT 2011
... offered an enforceable undertaking to ASIC after the rectification of a condition breach of its Australian financial services licence. The regulator has accepted the offer. Opus Capital, a responsible entity for 14 unlisted property funds, had its licence ...

OneVue to expand its UMA platform distribution

CLAIRE MCGREAL  |  TUESDAY, 11 OCT 2011
... groups currently using the OneVue unified managed account (UMA) functions include Yellow Brick Road, Australian Financial Services and Madison Financial Group. Head of OneVue Connie McKeage said an announcement on new clients is expected before the end ...

Former company director pleads guilty to dishonest conduct

CLAIRE MCGREAL  |  THURSDAY, 6 OCT 2011
... Financial Partners, Venture Capital Management, and Biotech Solutions. None of the companies held an Australian financial services (AFS) license at the time. Finnigan told investors that their money would be invested in shares, options, managed funds ...

AFS to focus on independent market

ELISE BURGESS  |  WEDNESDAY, 28 SEP 2011
Independent dealer group, Australian Financial Services Group, has declined three alliance and merger offers from fellow planning groups as it renews its focus with new products and restructure, including a new MDA facility. The Australian Financial ...

Banned adviser faces jail term

ELISE BURGESS  |  TUESDAY, 27 SEP 2011
... security for his personal margin loan facility. Carll was an authorised representative of three Australian financial services licensees including Financial Wisdom, Financial Planning Services Australia and Genesys Wealth Advisers between 21 June 2004 ...

ASIC obtains Fed Court order to preserve funds

ELISE BURGESS  |  WEDNESDAY, 21 SEP 2011
... moving any invested cash within the fund after it found that neither the firm nor Travers held an Australian financial services (AFS) licence, despite the fact they are offering investment opportunities in contracts for difference, spread betting and ...