Search Results | Showing 1 - 10 of 806 results for "Australian Financial Services" |
| | ... notifies ASIC of the details of the firm that failed to pay the compensation, ASIC must cancel the Australian financial services licence and credit licence of the firm," ASIC said. As a result, ASIC cancelled the two licences on October 16. In 2022 ... |
| | | ASIC has stripped the Australian financial services licence (AFSL) of Aretean Ltd Pty, trading as Aretean Capital, following the fund manager's failure to comply with its obligations. Aretean Capital boasts assets under management of over $250 million ... |
| | | ... Reporting-Reportable Situations) Instrument 2024/620 and ASIC Corporations Record-Keeping Requirements for Australian Financial Services Licensees when Giving Personal Advice) Instrument 2024/508 for the purpose of extending reliefs that were due to ... |
| | | ... currently searching for Zaika's replacement. Zaika, who joined GAM in July 2018, has worked in Australian financial services sales for 20 years, covering institutional, wholesale and retail market segments. He arrived from BlackRock, where he served ... |
| | | ... rose concerns that some of the companies linked to McWilliams may have been operating without an Australian financial services licence, possibly breaching the Corporations Act. Additionally, he pointed out that several companies involved, along with ... |
| | | The Australian Securities and Investments Commission (ASIC) has cancelled the Australian financial services licence (AFLS) of contracts for difference (CFDs) and foreign exchange contracts issuer, FXOpen AU. ASIC said the decision to cancel the licence ... |
| | | ... disciplined execution against clear strategic priorities has positioned the company as a leader in the Australian financial services landscape," Humphrey said. "As we approach out 45 th year of serving our clients, we're excited to have such a strong ... |
| | | ... piloting a new digital portal for licensing which includes the ability to apply for, maintain and vary Australian financial services licences (AFSL). The new AFSL portal was launched on August 12 for a limited, invitation-only group. All AFS licensees ... |
| | | ... notifies ASIC of the details of the firm that failed to pay the compensation, ASIC must cancel the Australian financial services licence of the firm," ASIC said. |
| | | ... financial advisers. The instruments are: Class Order [CO 14/923] Record-keeping obligations for Australian financial services licensees when giving personal advice ; ASIC Corporations and Credit (Breach Reporting-Reportable Situations) Instrument 2021/716 ... |
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