| Search Results | Showing 1 - 10 of 100+ results for "AFS" |
| | | ... that the company had ceased to carry on a financial services business. "In light of this, ASIC has cancelled the company's AFS licence," the regulator said. "Since the suspension of KP International Group Australia AFS licence, the Australian Financial ... |
| | | | ... of AFSL applications received this year were approved. ASIC received approximately 2491 applications in 2018-2019 - 64% of AFS licences, 27% for credit licences and 9% relating to professional auditor registrations. In the report, ASIC said: "We approved ... |
| | | | ... been adjourned until 4 February 2020. Meantime, Pershing has accepted additional licence conditions imposed by ASIC on its AFS licence. These additional conditions will require Pershing to appoint an independent expert to review the company's ability ... |
| | | | ... Securities until May 2020. ASIC said the licence has been suspended over concerns the company is not meeting its obligations as an AFS licensee. The regulator said Australian Golden Securities, formerly AFS Capital Securities, has failed to lodge it's ... |
| | | | ... restrain the assets of the defendants, and restrain the defendants from carrying on a financial services business without an AFS licence. The action falls within the corporate regulator's Wealth Management Major Financial Institutions Portfolio, which ... |
| | | | ... organisation is MyNextAdvice, which has launched a solution to help licensees monitor adviser compliance. "ASIC has mandated that AFS Licensees are responsible for monitoring adviser compliance with the code until the Government establishes a central ... |
| | | | AFS licensees are consistently failing to provide correct information about advice fees to clients and are potentially still charging fees long after ongoing fee arrangements have been terminated, ASIC has found. The report, Compliance with fee disclosure ... |
| | | | ... adviser for breaches of the code. "Financial advisers will still be required to comply with the code from 1 January 2020 and AFS licensees will still be required to take reasonable steps to ensure that their financial advisers comply with the code," ... |
| | | | ... the code. "As announced on 14 November 2019, ASIC has taken action to provide certainty to Australian financial services (AFS) licensees that they will not be in breach of the law because their financial advisers were not able to register with an ASIC-approved ... |
| | | | ... disciplinary bodies would soon be displaced by the new body. Despite the lack of a monitoring body for the code, ASIC said: "AFS licensees will still be required to take reasonable steps to ensure that their financial advisers comply with the code from ... |
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| | JAMIE WILLIAMSON AustralianSuper will introduce a new fee for MySuper members from April 2020 to offset the impact of the Protecting Your Super changes. | KANIKA SOOD The alternatives assets data juggernaut is opening an office in Sydney, as it looks to expand its local client base and build its research coverage. | | | HARRISON WORLEY New Industry Super Australia research claims to show plans to make superannuation optional for low-income workers is nothing more than a tax grab. | KANIKA SOOD A Brisbane boutique is winding up an Aussie equities fund, after an investor decided to redeem their money, representing roughly 60% of the fund's assets, just before Christmas. |
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