Search Results | Showing 61 - 70 of 1289 results for "AFS" |
| | | ... licence (AFSL) holders, with the changes informed by its surveillance of private markets. The updated Regulatory Guide 181 AFS Licensing: Managing Conflicts of Interest (RG 181) aims to help licensees fulfil their obligation to have "robust arrangements" ... |
| | | | The professional indemnity insurance (PII) sector will be forced to play a bigger role in making the Compensation Scheme of Last Resort (CSLR) sustainable, Assistant Treasurer Daniel Mulino proposes, as the Opposition slams the scheme for "constantly ... |
| | | | ASIC has suspended the Australian financial services licence (AFSL) of MW Planning, a subsidiary of MWL Financial Group, after it failed to appoint a new responsible manager. The AFSL is suspended until 8 June 2026. ASIC said MW Planning failed to fulfil ... |
| | | | ASIC has successfully introduced two instruments on the Federal Register of Legislation relating to reliefs for secondary distribution of eligible digital assets and the omnibus account structures for those that are classified as financial products. ... |
| | | | ASIC is taking further action against Spice Capital Partners and its founder Colin Oxlade for providing unlicensed financial services and financial product advice that ultimately raised nearly $2 million from investors. ASIC alleges that Oxlade, who ... |
| | | | ASIC is suing Diversa Trustees for its role in the collapse of the First Guardian Master Fund, in which $300 million of member money was invested. In the Federal Court, ASIC put forth several allegations, starting with Diversa failing to conduct adequate ... |
| | | | ... including the misleading or deceptive conduct prohibitions and unconscionable conduct prohibition. ASIC said the principal AFS licensee must take all reasonable measures to ensure its representatives comply with financial services laws. Earlier this ... |
| | | | ... professional standards. A person training to become a relevant provider must pass the exam before they can be authorised by an AFS licensee as a provisional relevant provider and start the third quarter of their professional year (PY). The next financial ... |
| | | | Coinbase Australia has welcomed a new chief operating officer, who previously spent over a decade at ASIC. Adam Judd has been named chief operating officer, effective today, joining from CommSec where he was most recently the executive manager, product ... |
| | | | ASIC has suspended the AFSL of Focused Financial Advice (FFA) until December 19, which has operated for more than two years without a key person. FFA was established in 2003 and provides financial services around superannuation, life insurance, retirement ... |
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