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Showing 921 - 930 of 940 results for "AFSL"

AFSLs growing in number

ASIC has revealed the total number of Australian Financial Services Licences (AFSLs) stood at 4,101 after it issued 363 additional AFSLs since March last year. Over the period the regulator also approved 582 variations to existing AFSLs and was notified ...

Licensing relief for securitisation special purpose vehicles

... providing custodial services for financial products, an exemption from having to obtain an Australian Financial Services Licence (AFSL). The relief is effective as of 1 July 2005 under 'Class Order 04/1526: Securitisation special purpose vehicles'. ASIC ...

ASIC shuts down currency trading websites

... became aware that three Australian-based businesses were operating without holding an Australian financial services licence (AFSL). The businesses were exchanging conventional currencies to electronic currencies and vice-versa and charged commission ...

Unlicensed company stopped from issuing securities

... offering financial products and conducting a financial services business without an Australian financial services licence (AFSL) after the company was caught advertising 'risk free' returns of 10 per cent per annum on loans provided to it. Ameya also ...

ASIC clarifies breach notification requirements of AFSLs

Reporting breaches for Australian financial services licence (AFSL) holders should be easier after ASIC released guidelines of breach notification requirements including examples of breaches, what to include in a breach report and how to inform ASIC ...

ASIC accepts National Australia Bank's enforceable undertaking

... Bank (National) designed to improve the bank's key systems and controls under its Australian financial services license (AFSL) after the foreign currency options trading losses National incurred in January this year. The enforceable undertaking requires ...

ASIC restricts wealth creation spruikers

... given financial product advice without being licensed or authorised to do so under an Australian financial services license (AFSL) and has restrained them from doing so in the future unless authorised by an AFSL.

ASIC moves in on unlicensed operators

... regulator will now focus on identifying those businesses that are not operating with an Australian financial services license (AFSL). Operators who fail to conduct business without a licence face a $22,000 fine, a jail term of two years or both. "If ...

Wealth-creation seminar promoters comply with undertakings

AAP | THURSDAY, 22 JUL 2004

... from the promoters, Vision Pursuit, because neither Vision Pursuit nor Allen hold an Australian financial services licence (AFSL). ASIC said it had previously raised concerns with Vision Pursuit about references to financial product advice in the promotion ...

FPA says 97% of principal members FSR compliant

... principal members - or 97% - have either obtained or have applications pending for an Australian Financial Services Licence (AFSL) and will be compliant come the Financial Services Reform (FSR) transition date on March 11. FPA chief executive Kerrie ...

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Global X awards mandate for ETF business

ELIZA BAVIN | 12:33PM

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

Bell Asset Management launches small-caps fund

KARREN VERGARA | 11:56AM

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 | 11:09AM

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 | 12:20PM

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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