Search Results | Showing 51 - 60 of 167 results for "AFS Licensee" |
| | | ... credit licence and an AFSL. While she speaks points appear on the screen which read "lawyer, ASIC Credit Licensee, AFS Licensee, Migration Agent's Licence, Real Estate Agent's licence." Following ASIC's investigation, Grubisa explained she ... |
| | | | ASIC has imposed additional licence conditions on dealer group Shartru Wealth Management, saying representatives have not been adequately supervised, leading to some financial advice provided failing the best interests duty. The additional conditions ... |
| | | | ... providers. "The registration requirement is new. It is separate, and in addition to, the pre-existing requirements for an AFS licensee to appoint a relevant provider to the Financial Advisers Register after they have been authorised. Provisional Relevant ... |
| | | | ... either their own AFS licence or obtaining status as an authorised rep or corporate authorised representative of an AFS licensee or Australian Credit Licensee." While this might seem like a small pool, their breadth and depth of influence is deep. James ... |
| | | | ASIC has updated breach reporting procedures in the hope that it can help reduce regulatory burdens for financial advisers. The corporate watchdog detailed several changes to Regulatory Guide 78 Breach reporting by AFS licensees and credit licensees ... |
| | | | ASIC cancelled the financial services licence of Binance following concerns about the cryptocurrency exchange's operations in Australia. Effective April 6, the AFSL of Oztures Trading, which trades as Binance Australia Derivatives, was cancelled. From ... |
| | | | The chief executive of a North Sydney financial advice group is permanently banned by ASIC for faking his Financial Adviser Exam results. In December 2021, Bluepoint Consulting chief executive and co-founder Todd Karamian altered the result on his Financial ... |
| | | | ... which the Corporations Act does not require a relevant provider to give personal advice, it will be a matter for the AFS licensee to determine whether the personal advice can be provided by an individual who is not a financial adviser. "Happily, I do ... |
| | | | ... provided by relevant providers. "Where personal advice is provided by someone who is not a relevant provider, the AFS licensee should, like any other distributor, be required to comply with the distribution obligations and take reasonable steps to ensure ... |
| | | | From February 1, ASIC's Financial Advisers Register (FAR) will display whether a financial adviser can provide tax (financial) advice services to retail clients. To provide tax advice services to retail clients, a financial adviser must meet certain ... |
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