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Showing 831 - 840 of 905 results for "Australian Financial Service"

Gold Coast wealth creation seminars stopped

The Supreme Court of Queensland has prohibited Jack Weavers and his company Oneworld Seminars (Oneworld) from rendering financial advice after finding he and his organisation were providing financial advice without holding an Australian financial services ...

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

ASIC has accepted an enforceable undertaking from 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 ...

Wholesale foreign financial service providers get ASIC relief

ASIC has exempt certain wholesale financial 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 ...

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

The Melbourne Federal Court has ruled Giann & Giann trading as Break Free Investments (BFE) and its director Mr Jon Giannopoulos, and JTC Group made a number of false and misleading representations in contravention of the ASIC Act 2001 during the promotion ...

ASIC moves in on unlicensed operators

ASIC has stepped up the second phase of its compliance campaign to remove unlicensed entities from operating in the financial services sector. The first phase of ASIC's campaign involved the transition of old law licensees to the new licensing regime. ...

ASX CEO to join financial services sector

AAP  |  WEDNESDAY, 29 SEP 2004
Outgoing Australian Stock Exchange Ltd (ASX) 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 ...

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

The Australian Securities and Investments Commission (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 ...