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Showing 881 - 890 of 981 results for "AFSL"

ASIC catches Camelot Derivatives

ASIC RELEASE  |  TUESDAY, 8 FEB 2011
... engaged in conduct that was likely to mislead or deceive, failed to ensure Camelot's Australian Financial Services licence (AFSL) provided fair service, failed to comply with the conditions of the AFSL and King was an accessory to Camelot's contraventions. ...

Kingston Capital joins FSP

ELISE BURGESS  |  MONDAY, 31 JAN 2011
... make available later this year." said Warren Killen, chairman of Kingston Capital. Kingston Capital, a Western Australian AFSL, will now trade as Kings Park Securities while the Geraldton business will trade as Financial Services Partners Geraldton. ...

New chapter for ASET and FMD

ELISE BURGESS  |  MONDAY, 31 JAN 2011
... Paragem Dealer Services has over 200 AFSLs operating within the groups shared service model while the number of wholesale AFSL service clients rose from three to 13 practices over the last 18 months.

Tasmanian former adviser charged for no AFSL

MEDIA RELEASE  |  TUESDAY, 23 NOV 2010
... appeared in the Hobart Magistrates' Court charged with two counts of carrying on a financial services business without an AFSL, following an investigation by ASIC. The corporate regulator alleges that between January 2006 and February 2009, Vafiadis ...

DKN champions fee for service, unveils "land grab" strategy

JOHN MCDULING  |  WEDNESDAY, 10 NOV 2010
... pricing strategy is to attract fee for service advisers who generate fees from clients, noting that it paid small rebates to AFSL's for scale. The company said that there are a significant "land grab" opportunities, over the next few years as a result ...

ASIC strikes back in Opus dispute

JOHN MCDULING  |  FRIDAY, 22 OCT 2010
... the besieged property fund manager with a lifeline. ASIC cancelled Opus Capital's Australian financial services license (AFSL) in August after the company "failed to rectify an ongoing breach of the net tangible assets (NTA) condition of its licence ...

ASIC tightens noose on managed inv schemes

JOHN MCDULING  |  FRIDAY, 8 OCT 2010
... expertise or skill from the new RE. It may also have the impact of new entrants taking the risk that they do not require an AFSL when establishing wholesale funds," he said.

Countplus buys risk dealer group

MEDIA RELEASE  |  FRIDAY, 1 OCT 2010
... advisers are located throughout Australia and have signed new authorised representative agreements with Countplus' wholly owned AFSL, Compound Investments Limited. As a risk-focused dealer group, one of the benefits of the acquisition includes a life ...

ETFs tough to white label

MICHAEL HOBBS  |  WEDNESDAY, 7 JUL 2010
... advisers are definitely using ETFs more than the mainstream dealer group market," he said. "That's because they have their own AFSL, a lot of them run their own business so they tend to have more flexibility on how they construct portfolios and use a ...

Civic joins Financial Index Australia

COMPANY RELEASE  |  THURSDAY, 10 JUN 2010
... smoothly when its principal planners retire. Canberra-based Civic Financial Planning, which formerly operated under a Securitor AFSL, is merging its entire business operations with Financial Index Australia. The firm is a prominent player in the ACT ...