Search Results | Showing 1 - 10 of 1158 results for "AFS" |
| | ... licence conditions on Kalkine's Australian financial services licence (AFSL) to ensure compliance with its obligations as an AFS licensee. "These conditions require Kalkine to engage a consultant to review, assess and report to ASIC whether Kalkine's ... |
| | | ... Holley Nethercote shows, but a slew of reforms slated within the next 18 months could catch them off guard. Out of the 179 AFS Licensees and 29 credit licensees surveyed, 40% spent less than $100,000 on internal compliance staff compared to 29% in 2024. ... |
| | | ... several failed advice and investment firms to lose their licences under this mechanism. ASIC has previously cancelled six other AFS licences and four credit licences after CSLR payments were made. The CSLR, which began processing claims in April last ... |
| | | The regulator launched a new digital portal for Australian financial services licence (AFSL) applications. From today, those wishing to gain an AFSL can use ASIC's new portal, integrated with the ASIC Regulatory Portal. It has a new interface and method ... |
| | | The March quarter saw a jump in the number of financial advisers in Australia, reaching 15,546, according to Rainmaker Information. During the three months, 228 advisers joined the industry, according to the latest Rainmaker Financial Adviser report. ... |
| | | The Australia Securities and Investments Commission (ASIC) has made an order to permanently ban former Western Australia based financial adviser Neville Kendrick. Kendrick has been banned from providing any financial services, performing any function ... |
| | | The Federal Court has vindicated Block Earner by overturning a decision that it needed an AFSL to offer its Earner product and dismissing ASIC's appeal to impose penalties on the digital asset platform. Justices O'Callaghan, Abraham and Button ... |
| | | The corporate regulator plans to introduce two interactive dashboards that would track firm-level reportable situations and internal dispute resolution (IDR) data to push financial firms to lift their game. ASIC is consulting on plans to publish dashboards ... |
| | | Three AFS licensees - Australian Advice Network, IA Advice, and Sherrin Partners Services - have copped infringement notices from ASIC after their financial advisers provided personal advice while unregistered. Each licensee paid a $31,300 penalty in ... |
| | | The Association of Independently Owned Financial Professionals (AIOFP) has partnered with fintech firm moneyGPS, which will provide its digital advice platform to the advice association's 120 AFSL members and 5000 financial advisers. Through the partnership ... |
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