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Showing 951 - 960 of 1277 results for "AFS"

Advice firms start to launch in post-FoFA regime

LAURA MILLAN  |  THURSDAY, 1 AUG 2013
The financial services industry is starting to see the first advice firms launching after the start of the Future of Financial Advice (FoFA) regulation and while the process is more rigorous now, newcomers have the advantage of being fully-compliant ...

ASIC cancels Perth stockbroker's licence

JAMES FERNYHOUGH  |  THURSDAY, 1 AUG 2013
Perth securities dealer Stellar Securities Pty Ltd has lost its Australian financial services licence (AFSL) over compliance issues. The Australian Securities and Investments Commission (ASIC) found Stellar Securities had failed to comply with conditions ...

ASIC revokes Australian Public Trustees' AFSL

JAMES FERNYHOUGH  |  TUESDAY, 30 JUL 2013

Count goes "social" in hunt for accountancy business

ALICE URIBE  |  WEDNESDAY, 17 JUL 2013
Count Financial (Count) is using social media platforms as part of its strategy to attract accountancy firms to work under its Australian Financial Services Licence (AFSL). Count chief executive David Lane told Financial Standard that it is using Twitter ...

WB advisers join CBA's Financial Wisdom

LAURA MILLAN  |  MONDAY, 15 JUL 2013
The 23 authorised representatives of WB Financial Management have joined the Commonwealth Bank-owned Financial Wisdom dealer group. WB Financial board took the decision to go under CBA's umbrella in an attempt to deal with "an increasingly comply regulatory ...

ASIC winds up insolvent derivatives issuer

MARK SMITH  |  TUESDAY, 9 JUL 2013
... seeking the company be wound up because it was advertising through its website that it had an Australian Financial Services (AFS) licence, when it did not, appeared to be insolvent, had ceased all business operations, and from February 2013, did not ...

Lifewise joins independent dealer group

LAURA MILLAN  |  THURSDAY, 4 JUL 2013
Queensland-based Lifewise Wealth Protection has joint non-aligned dealer group Synchron. Lifewise has 2,000 clients and its owner and managing director Chris Kelaart made the decision to join Synchron when he realised that "despite Lifewise now having ...

ASIC urged to extend 'wet signatures' exemption

MARK SMITH  |  WEDNESDAY, 3 JUL 2013
The Australian Securities and Investment Commission (ASIC) should consider extending its relief of the need for 'wet signatures' on product disclosure statements (PDS) for the ASX Managed Funds Service (AMFS) to the wider industry to increase access ...

More than 8,000 advisers using IRESS XPLAN

MARK SMITH  |  WEDNESDAY, 3 JUL 2013
More than 8,000 advisers have opted for IRESS' XPLAN-CommPay solution to meet the Fee Disclosure Statement (FDS) requirements brought in by the Future of Financial Advice (FoFA) reforms, the software provider has said. According to IRESS, the 'vast ...

Platforms surpass pre-GFC levels

LAURA MILLAN  |  MONDAY, 1 JUL 2013
The platform market has broken funds under advice (FUA) records in the March quarter, after plunging during the global financial crisis (GFC). An uptick in investor confidence and an increase in adviser productivity could be behind the growth of the ...