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Showing 611 - 620 of 885 results for "Australian Financial Services"

ASIC surveillance sharpens focus on AFS licensees

MATT WOODINGTON  |  TUESDAY, 13 SEP 2011
... gatekeepers to account. ASIC has released a report based on information obtained from the 20 largest Australian financial services licensees in 2010, to help recognise key policy and regulatory issues. "The analysis of the information gathered has informed ...

AFS prepares for FOFA with new hire

RACHEL DAVIS  |  THURSDAY, 8 SEP 2011
Australian Financial Services Group has appointed a regional manager for NSW & ACT who will also lead their FOFA ready program. Australian Financial Services Group (AFS Group) has appointed Richard Liverpool to the position of regional manager for NSW ...

PATRON makes Victorian move

RACHEL DAVIS  |  WEDNESDAY, 7 SEP 2011
... Cummins has over 18 years of industry experience and was most recently Victorian State Manager for Australian Financial Services. PATRON commenced operations in March 2007 and has experienced steady growth. They have approximately 50 adviser businesses ...

WA adviser receives jail sentence and reparations

RACHEL DAVIS  |  MONDAY, 5 SEP 2011
... ASIC. A reparation order of $1.7 million was also made. On 26 September 2008, ASIC suspended the Australian financial services (AFS) licence of Concentric Wealth Management (CWM) following the appointment of a receiver and manager. Mr Mark Travis Goldenberg ...

Opus licence decision overturned

RACHEL DAVIS  |  FRIDAY, 2 SEP 2011
... Court has overturned an Administrative Appeal Tribunal's decision against the cancellation of the Australian financial services licence held by Opus Capital Limited, responsible entity for 14 unlisted property funds. ASIC's decision to cancel Opus' licence ...

Fraud firm masquerades as financial advisors: ASIC alert

ALISON BEVEGE  |  THURSDAY, 18 AUG 2011
... shut down Frontline Financial Planning's website which posted the Australian company number and Australian financial services licence number of another business as its own, it said. The fake firm should not be confused with legitimate companies that ...

HOSTPLUS, IOOF allocate mandates

ELISE BURGESS  |  THURSDAY, 11 AUG 2011
... outside the companies that are in the indices," said Rooney. Neuberger Berman Australia received its Australian Financial Services licence in April this year. Its parent company, Neuberger Berman, is a US-based asset management company with approximately ...

Aust fund managers passport to Japan

ELISE BURGESS  |  THURSDAY, 28 JUL 2011
... government and policymakers to remove impediments that might inhibit the competitive nature of the Australian financial services sector. Johnson said a firm framework is needed around the investment management regime so Australian fund managers can manage ...

Lonsec research head exits for Morningstar

ELISE BURGESS  |  TUESDAY, 26 JUL 2011
... Planning, Professional Investment Services, Count Wealth Accountants, Westpac Financial Services, Australian Financial Services, Genesys Wealth Advisers, Aon Hewitt Financial Advice, Suncorp Financial Planning, Lonsdale Financial Group, Infocus Money ...

ASIC cautions industry after US broker tweeted into suspension

ELISE BURGESS  |  TUESDAY, 19 JUL 2011
Australian financial services professionals must be vigilant with their web presence as regulators close in on the social spaces to ensure fair trading and no misconduct. Online financial communities and forums, blogs, Facebook and Twitter are emerging ...