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Showing 71 - 80 of 85 results for "Australian Financial Services Licensee"

Banned adviser faces jail term

ELISE BURGESS  |  TUESDAY, 27 SEP 2011
Banned South Australian financial adviser, Trevor Wayne Carll, is facing 28 charges from ASIC, including deception, with a possible jail time of ten years for each offence. Carll, of Port Pirie, South Australia, was banned from the industry in February ...

ASIC surveillance sharpens focus on AFS licensees

MATT WOODINGTON  |  TUESDAY, 13 SEP 2011
Financial services licensees must effectively monitor business models for possible conflicts of interest and prioritise training and supervision of advisers, said ASIC, as part of plans to raise standards in the advice industry and hold gatekeepers ...

ASIC moves to protect OTC retail investors

MATT WOODINGTON  |  TUESDAY, 10 MAY 2011
The Australian Securities & Investments Commission (ASIC) is stepping up its scrutiny on issuers of over the counter (OTC) derivatives, in order to safeguard the investments of a rising retail client base. ASIC has released a consultation paper seeking ...

ASIC recovers $24m for Westpoint victims

ASIC RELEASE  |  FRIDAY, 17 SEP 2010
Westpoint investors in ASIC's class against Glenhurst Corporation will receive their share of $24.5 million recovered to date by the corporate regulator. The Glenhurst settlement, worth $2.5 million, is one of six reached by ASIC on behalf of investors ...

Advisers to boost political clout

RUTH LIEW  |  MONDAY, 8 MAR 2010
Licensees and advisers have a new platform to get a clear message to the Government about the value of advice, at a time when the retail industry "has been found wanting", said AFA chief, Richard Klipin. The new Licensee Leadership Forum (LLF) operates ...

AMP planners back fee for service APL

MICHAEL HOBBS  |  TUESDAY, 9 FEB 2010
AMP's financial planners have thrown their support behind an approved product list (APL) that does not include any commissions - and fund managers keen to keep their business are fast adjusting to the change. Steve Helmich, director Financial Planning ...

Equiti talks to planners regarding stakeholding

MICHAEL HOBBS  |  TUESDAY, 8 DEC 2009
... the business grows, he said. He said Equiti Funds Management is talking to a number of Australian Financial Services Licensee (AFSL) holders about the equity ownership in the company. "Planners are always looking for these structures. I know when I ran ...

FPA board approves move away from commissions

COMPANY RELEASE  |  FRIDAY, 23 OCT 2009
The Financial Planning Association of Australia's board has approved the association's remuneration policy that moves its members away from a commission-based model by July 2012. The FPA received more than 250 responses to its consultation paper "Financial ...

FPA to provide PI insurance to members

MICHAEL HOBBS  |  THURSDAY, 20 MAR 2008
The Financial Planning Association (FPA) is calling for submissions to provide group indemnity insurance for its members by June this year. Jo-Anne Bloch, FPA chief executive, said prior to this action, planners would either find their own indemnity ...

Regulators fight breaches online

RUTH LIEW  |  WEDNESDAY, 12 MAR 2008
The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments Commission (ASIC) has launched a new online breach reporting system for dual-regulated institutions. According to a joint statement released by both ...

Editor's Choice

Former chief financial officer at Rest returns in new role

VINNY VUCAGO
Rest is welcoming back its former chief financial officer as its inaugural chief commercial officer.

Macquarie chair provides 'cautious' outlook at AGM

ELIZA BAVIN
Macquarie Group has provided its first quarter update at its AGM, with outgoing chief executive Shemara Wikramanayake describing trading conditions as "satisfactory".

GDG delivers 36% jump in FUM

RIDDHIMA TALWANI
Generation Development Group has reported strong growth to the year ending June 30.

Aussie Olympian's brother sentenced over crypto scam

RIDDHIMA TALWANI
The brother of Australian breakdancing Olympian 'Raygun' has been sentenced 12 months' imprisonment for his role in a global cryptocurrency scam.

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