Search Results | Showing 1 - 10 of 87 results for "AFS licensees" |
| | ... believe that JB Markets was likely to breach financial services laws. "ASIC imposes financial requirements upon AFS licensees to help ensure that they have sufficient financial resources to conduct their business in compliance with financial services ... |
| | | ... register. "Given that the period for registration has coincided with the summer holiday period, ASIC is providing AFS licensees an additional two weeks to register their relevant providers," the regulator said. The change of date comes amidst the Financial ... |
| | | ... authorised the relevant provider at the relevant time, will be breaking the law, ASIC said. "It is crucial that AFS licensees and Relevant Providers understand their obligations in relation to relevant provider registration." ASIC will also host two ... |
| | | ... than $2.5 million or $250,000, you are a professional investor under Section 761 G (7) (D)," he said. This includes AFS Licensees with over $10 million dollars or the investment amount is at least $500,000 (under section 761G (7)(A)). "You can also be ... |
| | | ... (financial) advice services for the first time," ASIC said. "It is important to note that it is the responsibility of AFS licensees to ensure that the information recorded on the Financial Advisers Register about their relevant providers is correct." ... |
| | | ... 2012. It added a compliance manager in January of this year, followed by a risk and compliance manager in April. "AFS licensees are responsible for ensuring their representatives comply with financial services laws. ASIC expects licensees to have adequate ... |
| | | ... for financial advisers. The corporate watchdog detailed several changes to Regulatory Guide 78 Breach reporting by AFS licensees and credit licensees, following consultation from the likes of super funds, financial advisers, banks and insurance firms ... |
| | | ... how Binance classified retail and wholesale clients. ASIC chair Joe Longo said it is "critically important that AFS licensees classify retail and wholesale clients in accordance with the law". "Retail clients trading in crypto derivatives are afforded ... |
| | | ... financial adviser qualified for the extension)," ASIC said. "As a result of this proactive review, the relevant AFS licensees (or where necessary, ASIC) have corrected the authorisation status or cease dates of over 1300 individuals, so that the FAR ... |
| | | ... Board are taken to be QTRPs under transitional provisions. ASIC wrote to each of these advisers and their respective AFS licensees notifying them of their QTRP status. FAR will generally display that these financial advisers can provide tax (financial) ... |
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