Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 1 - 10 of 62 results for "Australian Financial Services Licensees"

ASIC zeroes in on recurring compliance breaches

VINNY VUCAGO  |  THURSDAY, 10 SEP 2026
... advice. The regulator's latest financial advice update highlights several areas of focus for Australian financial services licensees and advisers, including new guidance for candidates undertaking their professional year. ASIC Information Sheet 297 sets ...

Advisers lean on AQF7 to meet education standards: Rainmaker

MATTHEW WAI  |  FRIDAY, 24 JUL 2026
... were identified as not having any qualifications or training courses marked from some 82 Australian financial services licensees. Of those individuals, 106 records on the FAR have been updated to reflect they are, in fact, qualified, while 26 have had ...

ASIC simplifies guidance to improve capital raising activity

MATTHEW WAI  |  THURSDAY, 23 JUL 2026
... eight, under a new principles-based proposal by ASIC. Sell-side research is prepared by Australian financial services licensees such as investment banks and stockbrokers to help clients make investment decisions including about upcoming initial public ...

ASIC ceases a further 26 authorisations after review

MATTHEW WAI  |  FRIDAY, 3 JUL 2026
... 132 individuals did not have any qualifications or training courses marked from some 82 Australian financial services licensees. Of those individuals, 106 records on the FAR have been updated to reflect they are, in fact, qualified, while 26 have had ...

ASIC secures record $300m penalty over 'egregious' CFD misconduct

VINNY VUCAGO  |  MONDAY, 15 JUN 2026
... and directed to refund customers' net deposits. Court said the decision reinforced that Australian financial services licensees remain fully accountable for misconduct conducted under their licences. "Entities that profit from their client's losses will ...

CSLR a 'shared responsibility' for all AFCA members: SMSFA

MATTHEW WAI  |  THURSDAY, 11 SEP 2025
... Burgess argued that, despite most of the levy being allocated to financial advisers, many Australian financial services licensees, who are AFCA members, are currently not responsible for the significant shortfall. "There is no element of the current ...

ASIC sues Fortnum Private Wealth

KARREN VERGARA  |  TUESDAY, 22 JUL 2025
... cyber-attack." "ASIC has been highlighting the cybersecurity responsibilities of companies. Australian financial services licensees, in particular, hold a range of sensitive and confidential information," he said.

Government to scrap advisers' approved qualifications list

KARREN VERGARA  |  MONDAY, 10 FEB 2025
... changes." Jones said: "Financial advisers are already registered by their authorising Australian Financial Services licensees under Stage 1. Not proceeding with Stage 2 removes unnecessary red tape on individual advisers."

ASIC extends two advice instruments

KARREN VERGARA  |  WEDNESDAY, 25 SEP 2024
... 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 expire in October. They ...

ASIC intends to extend legislative instruments

MATTHEW WAI  |  FRIDAY, 9 AUG 2024
... 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 ; and ...
PAGE:
1
PREVIOUS
NEXT