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Showing 921 - 930 of 981 results for "AFSL"

Van Eyk most popular ratings agency: Rainmaker

ALEX DUNNIN  |  TUESDAY, 12 AUG 2008
... service, it's the compliance regime of the market itself that makes them so important. "One way adviser groups [satisfy their AFSL requirements is] to only allow their planners to recommend products that have achieved specified ratings. Professional ...

Industry backs ASIC 'super snapshot'

MICHAEL HOBBS  |  TUESDAY, 29 JUL 2008
... grants relief to superannuation calculator providers from the requirement to hold an Australian Financial Services licence (AFSL) and from conduct and disclosure requirements of the Corporations Act. Yet, the relief is only granted if the calculator ...

ASIC bans Oxford Investments

MICHAEL HOBBS  |  WEDNESDAY, 2 JUL 2008
... advice to 14 people during the firm's futures trading training courses without an Australian financial services licence (AFSL) between January 2004 and March 2006. In addition, the Court found both the firm and Moore misled and deceived investors and ...

AdviserLogic launches planner-friendly software

... some stage of planning packages and they certainly didn't meet all of our needs." "In our prior role, we were running an AFSL and we had authorised representatives. The other packages didn't give us the flexibility to monitor the quality of work of our ...

MGI buys Omega stake

MICHAEL HOBBS  |  WEDNESDAY, 14 MAY 2008
... asset liability matching services for institutional clients. The firm has attained an Australian Financial Services Licence (AFSL) and is expected to launch its first product in two months. Although Vassos would not provide any specific information regarding ...

Ex-Westpoint adviser faces charges

MICHAEL HOBBS  |  WEDNESDAY, 14 MAY 2008
... on various products including Westpoint related mezzanine company promissory notes without an Australian services licence (AFSL). Rowntree caught the attention of the regulator during its investigation into the collapse of the Westpoint Group of Companies ...

Macq launches Property Lever

MICHAEL HOBBS  |  WEDNESDAY, 20 FEB 2008
... $165,000 and includes a 0.25 per cent monthly administration fee. The product is available through financial planners with an AFSL.

HESTA appoints five

... manager. Her role will complement the work of HESTA's compliance manager and will focus on risk management relating to HESTA's AFSL and RSE licence. Doust will also be responsible for some new risk management practices on the new Anti-Money Laundering ...

Futures contracts director caught without AFSL

... contracts on the Sydney Futures Exchange, without either defendant being the holder of an Australian financial services licence (AFSL). The regulator has alleged that between January 2004 and March 2006, Oxford Investments and Moore ran training courses ...

AFA sharpens technical skills

... best source of 'real world' knowledge comes from practitioners and the professionals advising and regulating advisers and AFSL management," said Richard Klipin, AFA's chief executive. In response, session speakers include Louise Biti, head of technical ...