Search Results | Showing 51 - 60 of 162 results for "AFS Licensee" |
| | | 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 ... |
| | | | The Financial Planning Association of Australia (FPA) has said the Australian Law Reform Commission (ALRC) should prioritise advice regulations in its ongoing review of financial services law. In its latest submission to the ALRC review of the Legislative ... |
| | | | ... exam. "To make sure new financial advisers are issued an exam eligibility number in time to book for an exam, their AFS licensee should apply for an exam eligibility number through the ASIC Regulatory Portal no later than 15 days before the last day ... |
| | | | Just 6% of licensees lodged a breach report in the first nine months of the reportable situations regime, with ASIC raising concerns that licensees still lack the systems and policies to identify and address issues. ASIC has released insights from the ... |
| | | | ... controlling a financial services business or being an officer of one after two companies of which he was a director, former AFS licensee Qsmart Securities and Quantum, refused or failed to give effect to determinations by AFCA. In 2020, AFCA made a total ... |
| | | | Former Synchron general manager Phil Osborne has been appointed to head up Sequoia Financial Group's licensee, Libertas Financial Planning. Osborne, who resigned from Synchron in June after just five months, will support the ongoing development of advisers ... |
|