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Showing 621 - 630 of 905 results for "Australian Financial Service"

OneVue to expand its UMA platform distribution

CLAIRE MCGREAL  |  TUESDAY, 11 OCT 2011
Platform provider OneVue said talks are at an advanced stage with several new dealer groups and accounting firms to make its unified managed account platform available to them. Adviser groups currently using the OneVue unified managed account (UMA) ...

Former company director pleads guilty to dishonest conduct

CLAIRE MCGREAL  |  THURSDAY, 6 OCT 2011
A former Sydney company director faces possible jail time and a hefty fine after pleading guilty to nine charges of dishonest conduct involving investor funds worth more than $1.8 million. ASIC alleged that Simon Finnigan of Potts Point raised 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
Banned South Australian financial adviser, Trevor Wayne Carll, is facing 28 charges from ASIC, including deception, with a possible jail time of ten years for each offence. Carll, of Port Pirie, South Australia, was banned from the industry in February ...

ASIC obtains Fed Court order to preserve funds

ELISE BURGESS  |  WEDNESDAY, 21 SEP 2011
ASIC has obtained urgent orders from the Federal Court to preserve invested funds in a Brisbane-based mutual fund operating without a licence, according to the regulator. The City Index Australian Mutual Fund operates on the cityindexmutual.com website ...

ASIC surveillance sharpens focus on AFS licensees

MATT WOODINGTON  |  TUESDAY, 13 SEP 2011
Financial services licensees must effectively monitor business models for possible conflicts of interest and prioritise training and supervision of advisers, said ASIC, as part of plans to raise standards in the advice industry and hold gatekeepers ...

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
PATRON Financial has appointed a Victorian State Manager as part of its eastern seaboard growth strategy. Sharon Cummins has been appointed Victorian state manager for the advice group. Cummins has over 18 years of industry experience and was most recently ...

WA adviser receives jail sentence and reparations

RACHEL DAVIS  |  MONDAY, 5 SEP 2011
A Western Australian man has been sentenced to over three years in jail by the Perth District Court, in a case brought by ASIC. A reparation order of $1.7 million was also made. On 26 September 2008, ASIC suspended the Australian financial services ...

Opus licence decision overturned

RACHEL DAVIS  |  FRIDAY, 2 SEP 2011
The Federal 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 ...