Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 1 - 9 of 9 results for "AAA Financial Intelligence"

Advice M&A activity set to soar in 2015

LAURA MILLAN  |  MONDAY, 9 MAR 2015
... Advice license had conditions imposed on it over concerns about the appointment of ex-advisers from AAA Financial Intelligence. As a consequence, "What Forte Asset Solutions is experiencing is seller's preference to sell to non- aligned boutiques in ...

ASIC imposes conditions on Guardian Advice

STAFF WRITER  |  WEDNESDAY, 7 JAN 2015
... advisers. ASIC's surveillance followed Guardian Advice's appointment of a number of ex-representatives of AAA Financial Intelligence and AAA Shares after the regulator cancelled their licences in February 2013. ASIC wanted to ensure Guardian Advice had ...

Licensee under ASIC scrutiny after employing AAA advisers

LAURA MILLAN  |  WEDNESDAY, 30 JUL 2014
... months. The licensee came under ASIC scrutiny when it appointed a number of former representatives of AAA Financial Intelligence and AAA Shares after their Australian financial services (AFS) licenses were cancelled by the regulator in February 2013. ...

Synchron pushes for providers' direct payment

LAURA MILLAN  |  FRIDAY, 28 FEB 2014
... have already paid the licensee for those services." The joint submission notes that the collapse of AAA Financial Intelligence in early 2013 resulted in losses to advisers of a reported $300,000. In turn, the collapse of Australian Financial Services ...

ASIC has risk advice in its sights

MARK SMITH  |  TUESDAY, 15 OCT 2013
... outcome for clients and to lift the standards of the industry. In February ASIC cancelled the license of AAA Financial Intelligence after finding what Kell described as "an appalling record in relation to the sale of risk products." "We have found many ...

Planner numbers drop on FoFA changes

ALICE URIBE  |  FRIDAY, 17 MAY 2013
... Financial Services Licenses (AFSL)," Rainmaker director of research Andrew Keevers said. For example AAA Financial Intelligence which had its license revoked by the Australian Securities and Investments Commission (ASIC) in February this year, had 186 ...

ASIC cancels national planning firm's license

MARK SMITH  |  THURSDAY, 7 FEB 2013
National financial planning business AAA Financial Intelligence has had its license revoked by the Australian Securities and Investments Commission (ASIC) after it had 'comprehensively and repeatedly' failed to comply with the Corporations Act 2001 ...

Ex-Kangaroo and Storm adviser banned for non-compliance

MARK STORY  |  MONDAY, 3 DEC 2012
... Storm Financial Ltd between May 2006 and June 2009 and is currently an authorised representative with AAA Financial Intelligence Ltd. An ASIC investigation found that between 20 November 2007 and 10 December 2010, Mr Fullerton-Smith: Failed to comply ...

ASIC strikes against currency trader

MELANIE TIMBRELL  |  TUESDAY, 3 APR 2012
... representative at different times for Pivotal Financial Advisers Ltd, Guardian FP Ltd, AAA Shares Pty Ltd, AAA Financial Intelligence Ltd and most recently, 101 Wealth Solutions, who revoked Mr Hassell's authorisation on 28 March 2012.
PAGE:
1