|Search Results||Showing 1 - 10 of 100+ results for "AFSL"|
|... Watt as non-executive directors. The appointments come as ASIC cleared NULIS of additional license conditions put on its AFSL nearly three years ago. The regulator is pursuing NULIS in the Federal Court over fees for no service conduct, and also working ...|
|... Sequoia Group. The sale will mean current YBR Wealth advisers will become licenced advisers of Interprac (which holds an AFSL within the Sequoia Group). Rainmaker analysis of the ASIC Financial Adviser Register shows that YBR had 58 advisers in the middle ...|
|... significant risk Sinha would not comply with the Act and that it also failed to ensure all services to be provided under its AFSL were done so fairly, efficiently and honestly or by the book. This constitutes a contravention of sections 912A(1)(a) and ...|
|ASIC has cancelled the AFSL of KP International Group after the regulator suspended it earlier this year, but concerns remain. ASIC said after the suspension, KP International advised the regulator that all relevant officers of the company had resigned ...|
|ASIC revealed just 53% 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 ...|
|... scheme, and a related company, operated by Chris Marco. ASIC also said it is seeking declarations that Marco did not hold an AFSL while running a financial services business. The application has been filed against Marco, who traded as Coastline Group ...|
|A privately-owned licensee is launching a support service to assist advice firms in transitioning to an individual AFSL and has appointed a national practice consultant to lead the initiative. Lifespan Financial Planning will launch Lifespan Partnership ...|
|ASIC has commenced action in the Federal Court in Western Australia focused on the promotion and management of the Sterling Income Trust. The regulator said the action is against Theta Asset Management, an Australian financial services licensee and ...|
|... changes to the register to be completed by the end of this calendar year, within ASIC's allowable timelines." The StatePlus AFSL, State Super Financial Services, had 267 registered financial advisers on the ASIC FAR at the start of November. From last ...|
|ASIC has suspended the AFSL of Melbourne-based financial services provider Australian Golden 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 ...|
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New Industry Super Australia research claims to show plans to make superannuation optional for low-income workers is nothing more than a tax grab.
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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.
Close to a third of wealth management organisations are looking to boost staff numbers this year, with sales roles expected to be most in demand.
Spaceship has boosted its executive team through the appointment of three executives, including a former leader of Macquarie and Bennelong Asset Management.
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