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Showing 651 - 660 of 940 results for "AFSL"

Fintech Nod takes on the unadvised

EMMA RAPAPORT  |  TUESDAY, 21 MAR 2017
... vets all the advisers who appear on the platform, the liability for ensuring that the correct advice is given falls on the AFSL licensed adviser. Nod will soon launch Nod Plus which will allow advisory firms to bring their existing client base onto the ...

Adviser contravenes FoFA obligations

EMMA RAPAPORT  |  MONDAY, 20 MAR 2017
... includes alleged breaches of the best interests obligations, engaging in unconscionable conduct, and failing to hold a current AFSL license. ASIC alleges that on numerous occasions since December 2015, WRM advisers have provided advice that is conflicted ...

We have made mistakes: CBA

KARREN VERGARA  |  TUESDAY, 7 MAR 2017
... of 2017. This aims to provide details on the overall quality of the industry, and Australian Financial Services Licence (AFSL) holders' misconduct and consequences of guilty misconduct in providing financial advice. Elliott also noted that by July this ...

SMSFs benefit from DomaCom deal

JAMIE WILLIAMSON  |  TUESDAY, 7 MAR 2017
DomaCom completed its first fractional property acquisition transaction via managedaccounts.com.au. Undertaking the transaction on behalf of Sydney-based advisory group Benwest Investment Services, DomaCom chief executive Arthur Naoumidis said the firm ...

IMAP ensuring greater representation for MDAs

JAMIE WILLIAMSON  |  THURSDAY, 23 FEB 2017
... Commencing in March, the MDA Providers Forum will be an invitation-only sub-group, open to leaders of businesses with an AFSL authorisation, meeting in Sydney and Melbourne up to six times a year with a view to expand into other cities. To develop the ...

ASIC watching SMSF advice closely

JAMIE WILLIAMSON  |  MONDAY, 20 FEB 2017
... manage that aspect of their business going forward. Of course, accountants can also become authorised under another person's AFSL or enter into some sort of partnership with another licensee to deal with this," Kell said. "We are going out into the field ...

Sydney firm sees AFSL cancelled

EMMA RAPAPORT  |  WEDNESDAY, 18 JAN 2017
... failing to lodge financial statements and auditor reports for two years. Core Insurance, which trades as Ferme, has held its AFSL since October 2012. In a statement, ASIC deputy chair Peter Kell indicated that failure to comply with financial reporting ...

ASIC takes Westpac to court

JAMIE WILLIAMSON  |  FRIDAY, 23 DEC 2016
A battle over the definition of personal and general financial advice will play out in the Federal Court following ASIC's decision to bring civil proceedings against Westpac subsidiaries. The corporate regulator is alleging Westpac Securities Administration ...

Metro property markets continue reliable income

DARREN SNYDER  |  FRIDAY, 23 DEC 2016
... four unlisted real estate funds. This acquisition is valued at $91.5 million, plus $10 million in cash in support of CIML's AFSL and net assets requirements. It also includes the acquisition of 360 Capital Group's (TGP) co-investment stakes in TIX (15.6%) ...

ASIC bans Sydney adviser

JAMIE WILLIAMSON  |  FRIDAY, 16 DEC 2016
... investigate and take action of such conduct to ensure that consumers have confidence in the financial system." Protect Ensure's AFSL was cancelled by ASIC in December 2014 for not having adequate financial resources to provide the services covered by ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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