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Showing 741 - 750 of 940 results for "AFSL"

ASIC to watch CBA advisers closely

LAURA MILLAN  |  FRIDAY, 14 NOV 2014
... arms, as well as affected customers. KordaMentha's appointment is part of the varied Australian financial services licence (AFSL) conditions imposed by ASIC to Commonwealth Financial Planning and Financial Wisdom. As part of the additional AFSL requirements ...

Libertas FP to offer SMA portfolios

STAFF WRITER  |  WEDNESDAY, 12 NOV 2014
... director David Montuoro said. Libertas Financial Planning currently has around 30 authorised representatives working under the AFSL. Find more articles about managed accounts in the FS Managed Accounts journal here

New Fortnum advice business targeting accountants

MARK SMITH  |  WEDNESDAY, 12 NOV 2014
... and asset protection. Fortnum expects a wave of accountants to apply for a limited Australian financial services licence (AFSL) in 2015 as the accountants' exemption draws nearer. The new subsidiary is headed by chartered accountant and business coach ...

Government clarifies adviser register funding

LAURA MILLAN  |  MONDAY, 27 OCT 2014
... that an adviser can advise on; any bans, disqualifications or enforceable undertakings and details around ownership of the AFSL and disclosure of the ultimate parent company.

Funding for the government's adviser register unclear

LAURA MILLAN  |  FRIDAY, 24 OCT 2014
... that an adviser can advise on; any bans, disqualifications or enforceable undertakings and details around ownership of the AFSL and disclosure of the ultimate parent company. When asked about the funding model for the register, Leapfrog director and ...

Accountant pays $10,000 fine for $100,000 fraud

LAURA MILLAN  |  FRIDAY, 3 OCT 2014
... inducing the investor to deliver $100,000 to his company, Andean Securities. Lim held an Australian financial services licence (AFSL) from May 2010 until March 2013, when he voluntarily cancelled it and refunded $100,000 to the investor. The Australian ...

ASIC suspends advice firm for three months

LAURA MILLAN  |  WEDNESDAY, 1 OCT 2014
... compliance obligations. Protect Ensure, with offices in Brisbane and Sydney, has had its Australian financial services licence (AFSL) suspended from September 23, 2014, to December 19, 2014. Following surveillance, ASIC found that the firm failed to ...

Kinetic Super launches intra-fund advice service

JAMES FERNYHOUGH  |  MONDAY, 8 SEP 2014
... limited advice on insurance cover, contributions or investment choice. The service will be provided and licenced under the AFSL of Industry Fund Services (IFS) and delivered by IFS Authorised Representatives "operating within Kinetic Super's Member Experience ...

Planners keen to leave big dealer groups

JAMES FERNYHOUGH  |  FRIDAY, 5 SEP 2014
... financial planning firms within our boutique Licensee business Financial Planning Services Australia (FPSA) and also establishing AFSL's for financial planning firms that wish to operate as an IFA under their own License." He said 23 advice firms and ...

ASIC puts hold Custom Wealth's AFSL

STAFF WRITER  |  TUESDAY, 22 JUL 2014
Brisbane-based Custom Wealth Solutions has also lost its Australian financial services (AFS) licence for three months. ASIC suspended the group's licence after it entered into receivership on June 11, 2014. The regulator has also permanently banned ...