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Showing 911 - 920 of 940 results for "AFSL"

ASIC to cut AFS licence paperwork

ASIC has announced it will introduce changes to its Australian financial services licence (AFSL) application processes that will cut the paperwork needed by more than 50 per cent. Malcolm Rodgers, executive director in Regulation said ASIC has reduced ...

SMSF adviser ordered to repay clients

... the regulator was based on misleading advertising and the conduct of business by Preston and his company without holding an AFSL licence. Preston had also approached clients to have their superannuation rolled into SMSFs. The Federal Court found Preston ...

Too few funds applying for RSE licenses

... Emergence Consulting, is a result of APRA's decentralised approach to the administration, which unlike ASIC's approach to its AFSL, lacks a dedicated licensing team. "Applications are currently processed by the relevant relationship manager for each ...

ASIC completes wind up of SMSF adviser

... restraining the PFS Group from conducting a financial business without holding an Australian Financial Services licence (AFSL). Similarly orders were also placed on Shaun White Pty Ltd. ASIC alleged that the PFS Group misled investors to the amount of ...

High yield investment scheme operator facing charges

... proceeds for his personal use, operated a financial services business without holding an Australian financial services licence (AFSL), and made false statements during an ASIC investigation. The Commonwealth Director of Prosecutions is handling the court ...

ASIC nabs SMSF adviser

... companies from carrying on a business related to superannuation without holding an Australian Financial Services Licence (AFSL). The nine other companies include PFS Group, Kaluski White & Associates (Black Gully Road) Ltd, Meridian Event Management ...

ASIC bans SMSF adviser

... super fund adviser after it was found the adviser had conducted business without an Australian financial services licence (AFSL) and provided misleading advice to consumers about rolling their superannuation entitlements into self managed superannuation ...

Unlicensed financial adviser caught out

... Maxwell facing one charge of carrying on a financial services business without an Australian financial services license (AFSL). The regulator alleges Maxwell breached the Corporations Act 2001 by running Business Express Success Techniques Pty Limited ...

ASIC provides guidance about Choice advice

... guide to help individuals and organisations, namely employers, who do not hold an Australian financial services licence (AFSL) and are likely to give advice to employees about choice of superannuation fund legislation. The guidance is designed to ensure ...

ASIC to scrutinise accountants' SMSF advice

... fund, and where an accountant has not informed a client he or she does not hold an Australian Financial Services Licence (AFSL) and as such cannot provide financial product advice and has not recommended the client seek advice from an AFSL holder before ...

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Global X awards mandate for ETF business

ELIZA BAVIN

Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA

Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI

The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA

MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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