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|Search Results||Showing 1 - 10 of 100+ results for "AFSL"|
|... the defendants contravened the Corporations Act by operating the unregistered scheme and also failed to hold the required AFSL to do so. It has barred the defendants from carrying out financial services in Australia without holding an AFSL. "The conduct ...|
|... regulation is required, but along with many other submissions I've read, I don't think the managed investments scheme or the AFSL would be the most appropriate method to do that, and I don't think regulation for litigation funders is something that is ...|
|... and was a member and chair of the investment committee, management team and a responsible manager on William Buck's AFSL and credit license. Prior to this, he worked at BW Capital as executive manager, Arthur Andersen Business Consulting as a senior ...|
|... litigation funders. Litigation funders have been under the spotlight recently, with new legislation requiring them to have an AFSL to operate in Australia. De Ferrari said he welcomed this new scrutiny of litigation funding, and that he was worried the ...|
|... clients live their best lives. "We are excited to have partnered with Wealth Today to help enable the advisers under their AFSL with more opportunities to do that." Jack Standing, Wealth Today's national head of the advice team, welcomed the IMA offering ...|
|... giving general financial advice and, on several occasions, provided personal advice." Earlier in the year, ASIC cancelled the AFSL of Forex Capital Trading after it found that the brokerage's business model disregarded key licensee obligations, resulting ...|
|The corporate regulator refused just 3% of Australian financial services licence relief applications in the six month period that saw COVID-19 intensify. Outlining the regulator's relief application decisions in the six month period between October ...|
|... through the websites www.titantrade.com and hittps://tradettn.com without holding an Australian financial services licence (AFSL) and without providing the requisite PDS'. The Court found that One Tech Media deliberately misled and deceived Australian ...|
|The Australian arm of a global investment management company has agreed to additional conditions imposed on its AFSL by the corporate watchdog. It comes after Societe Generale Securities Australia (SGSA) was criminally charged with breaching client ...|
|... to show the world how tough it is," Yazbeck said. He offered an example of a client who moved to voluntarily cancel their AFSL (for commercial reasons) but ASIC advised it wished to cancel the AFSL for alleged breaches. Even though the AFSL was cancelled ...|
A former financial adviser and licensee director has been sentenced to six years' imprisonment for misappropriating close to $2 million for his own use.
Pinnacle Investment Management's 16 affiliates tallied up only $3 billion in net inflows in FY20 as institutional allocators deferred mandate decisions in COVID-19 but the firm managed to grow NPAT by 5.6% to $32.2 million.
ASX-listed trading platform SelfWealth has renewed its clearing, settlement and execution (CS&E) mandate with retail broker OpenMarkets, in a move that it says demonstrates the two fintech's shared objective of disrupting the status quo.
The self-managed super fund administration and software provider has appointed two new technology leads, set to help Class continue to grow and innovate.
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