Search Results | Showing 51 - 60 of 1194 results for "Licence" |
| | | ... Under the professional investor exemption, a foreign provider would not need to hold an Australian financial services licence if offering services to professional investors from outside of Australia, including during limited marketing visits, provided ... |
| | | | ... issuers," the spokesperson said. "ASIC's jurisdiction includes, but is not limited to, providers with an AFSL, credit licence, otherwise engaging in financial services or those who have disclosure obligations such as market participants." If ASIC ... |
| | | | ... orders to wind up both companies citing that Naseeruddin had operated a financial services business without the appropriate licence. The highest maximum penalty for such offences is up to 15 years imprisonment. This matter is being prosecuted by the ... |
| | | | 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 ... |
| | | | Financial advice firms are "problematically" sidestepping compensation payments after the Australian Financial Complaints Authority (AFCA) hands down a decision, using the excuse that they do not have professional indemnity insurance (PII). Out of 5400 ... |
| | | | ... licensees, and that's why I think it's important that we are cognisant of that as we look for a new home for that licence," he said. Elsewhere, Insignia Financial will look to expand the scope of advice offered through superannuation, including ... |
| | | | EY cybersecurity leader for financial services Rohit Rao says the superannuation sector is lagging when it comes to cybersecurity processes, adding that increased consolidation has created more risk. In the latest episode of the Financial Standard podcast ... |
| | | | ASIC has cracked down on eight self-managed superannuation fund (SMSF) auditors for breaches of their obligations. Specifically, the regulator has disqualified five SMSF auditors and imposed additional conditions on three SMSF auditors for failing to ... |
| | | | ASIC has cancelled the Australian financial services licence of embattled crypto company FTX. The regulator explained that until 12 July 2024 the company may provide limited financial services that relate to the termination of existing derivatives with ... |
| | | | ... transferred all the sub-funds to HUB24 Super, citing members' best interests. That same month it was slapped with additional licence conditions by APRA, which was concerned with Diversa's ability to manage risks and deliver quality outcomes to ... |
|
