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Showing 71 - 80 of 1221 results for "Licensees"

ASIC sues Fortnum Private Wealth

KARREN VERGARA  |  TUESDAY, 22 JUL 2025
... cyber-attack." "ASIC has been highlighting the cybersecurity responsibilities of companies. Australian financial services licensees, in particular, hold a range of sensitive and confidential information," he said.

ASIC fines advice groups over unregistered advisers

JAMIE WILLIAMSON  |  THURSDAY, 17 JUL 2025
Two advice licensees have paid infringement notices after they were found to have authorised advisers and had them provide personal advice while unregistered. Skye Money and Smart Financial Capital have both paid fines of $31,300 to ASIC for authorising ...

Licensee compliance head banned over fees for no service

MATTHEW WAI  |  WEDNESDAY, 9 JUL 2025
... (AFSL) was cancelled after the group was placed into voluntary administration. The reportable situations regime requires licensees to notify ASIC of reportable situations. ASIC published its Regulatory Guide 78 Breach reporting by AFSL and credit licensees ...

ASIC funding levy to charge advisers $46.2m

KARREN VERGARA  |  FRIDAY, 4 JUL 2025
... only will pay $5.2 million. There are 1122 of these entities and they can expect to pay a flat levy of $4665. The 565 licensees that provide personal advice to retail clients on products but are not relevant financial products will pay $44,000. Licensees ...

RBA powers deemed 'last resort' for critical financial infrastructure fallout

MATTHEW WAI  |  TUESDAY, 1 JUL 2025
... responsible for the licensing regime, while the RBA will oversee the financial system stability and supervise CS facilities licensees to reduce systemic risks. "The RBA now has powers to step in and promptly resolve a crisis at a domestic clearing and ...

ASIC releases new relief for reportable situations regime

KARREN VERGARA  |  MONDAY, 30 JUN 2025
... requested. ASIC said the new relief reduces some of the reporting burden while upholding the objectives of the regime. "Licensees are reminded to ensure they have the systems and processes in place to identify, escalate, investigate, rectify and capture ...

Super spending calls BFID compliance into question

JAMIE WILLIAMSON  |  TUESDAY, 24 JUN 2025
... revisited historic arrangements since the BFID was legislated, and a host of other shortcomings. The review of 14 RSE licensees' expenditure practices and decisions comprised thousands of documents covering discretionary spending, marketing and connected ...

4600 relevant providers yet to meet qualification standards: ASIC

KARREN VERGARA  |  TUESDAY, 24 JUN 2025
... "It's possible that some of these relevant providers may be eligible for the experienced provider pathway, but their AFS licensees are yet to advise us of that. "It is crucial for ASIC to be provided with accurate information in the lead up to the January ...

ASIC calls on AFS licensees to 'step up'

ELIZA BAVIN  |  TUESDAY, 24 JUN 2025
... onboarding and verification practices, in addition to their share sale fraud detection practices. ASIC added that AFS licensees that deal in securities have a critical role in preventing and detecting share sale fraud, both individually and collectively. ...

‍Padua recruits tech professional

ELIZABETH FRY  |  THURSDAY, 19 JUN 2025
... technical solutions," he said. " We look forward to Dimitri playing a key role in strengthening our offering to advisers and licensees as we continue to grow and evolve in a rapidly changing industry.". At the forefront of data-driven, tech-enabled advice ...

Editor's Choice

Invesco launches new equity fund

ELIZA BAVIN
Invesco said the new fund will give Australian investors access to a systematic global equity strategy with a 20-year track record.

FCA pursues Neil Woodford again

KARREN VERGARA
The Financial Conduct Authority (FCA) is going after failed fund manager Neil Woodford again, this time for allegedly providing unauthorised investment advice via W4.0, his Dubai-based investment platform.

Former APRA deputy chair launches retirement solutions startup

KARREN VERGARA
A former APRA deputy chair has launched CipherIQ, a new venture that provides retirement solutions via account-based pensions in partnership with superannuation funds, financial advisers and retirees.

Global X launches space tech ETF

MATTHEW WAI
Global X has now launched the space tech ETF (ASX: MOON).

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