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Showing 811 - 820 of 885 results for "Australian Financial Services"

Gold Coast wealth creation seminars stopped

... advice after finding he and his organisation were providing financial advice without holding an Australian financial services licence, and were operating managed investment schemes without registering them as is lawfully required. Under the court orders ...

ASIC clarifies breach notification requirements of AFSLs

Reporting breaches for Australian financial services licence (AFSL) holders should be easier after ASIC released guidelines of breach notification requirements including examples of breaches, what to include in a breach report and how to inform ASIC ...

ASIC accepts National Australia Bank's enforceable undertaking

... National Australia Bank (National) designed to improve the bank's key systems and controls under its Australian financial services license (AFSL) after the foreign currency options trading losses National incurred in January this year. The enforceable ...

Wholesale foreign financial service providers get ASIC relief

... service providers registered with the US Commodity Futures Trading Commission (CFTC) to hold an Australian financial services license (AFS). Under the class order: US CFTC regulated financial services providers, those exempt from holding an AFS include ...

ASIC cancels Halifax Partners' Australian financial services licence

ASIC has cancelled the Australian financial services licence of Halifax Partners (Halifax) upon request by the company's sole director Mr Jason Foote. Halifax had earlier been subject to an investigation by ASIC regarding contraventions of the Corporations ...

ASIC restricts wealth creation spruikers

... Castellano had given financial product advice without being licensed or authorised to do so under an Australian financial services license (AFSL) and has restrained them from doing so in the future unless authorised by an AFSL.

ASIC moves in on unlicensed operators

... months the regulator will now focus on identifying those businesses that are not operating with an Australian financial services license (AFSL). Operators who fail to conduct business without a licence face a $22,000 fine, a jail term of two years or ...

ASX CEO to join financial services sector

AAP  |  WEDNESDAY, 29 SEP 2004
... chief executive Richard Humphry on Tuesday said he had accepted a future position on the board of an Australian financial services company. Speaking after the ASX annual general meeting in Sydney, Humphry, also said he hoped to work with ASX in an advisory ...

AFS licensees given notice on MDA authorisations

Australian financial services (AFS) licensees were reminded on Thursday applications for managed discretionary account (MDA) authorisations needed to be in no later than 10 December 2004. The Australian Securities and Investments Commission (ASIC) said ...

AFS licensees pass ASIC's spot check

... (ASIC) on Monday released its findings on a program of 353 randomly conducted verification visits on Australian financial services (AFS) licensees. Conducted between December 2002 and July 2004, the visits were undertaken to confirm certain declarations ...