Search Results | Showing 1 - 10 of 46 results for "Corporate Authorised Representative" |
| | Sanlam Private Wealth, the Australian arm of the South African Sanlam Group, has admitted to breaching licensee obligations by "failing to adequately supervise" its authorised representatives and corporate authorised representatives (CARs), following ... |
| | | The Federal Court has found that collapsed contracts for difference (CFD) issuer, Union Standard International Group (USG) and two of its former corporate authorised representatives, BrightAU Capital (trading as TradeFred) and Maxi EFX Global AU (trading ... |
| | | ... profitable entity with experienced compliance operatives. It currently has a number of existing Corporate Authorised Representative (CAR) agreements with existing fund management businesses," he said. |
| | | ... for an AFSL. That AFSL has now been granted; in the interim iExtend has been operating as a corporate authorised representative of Ingenious Brokers. iExtend said having the AFSL "also broadens the scope of iExtend's offering, enabling iExtend to fully ... |
| | | ... director of Guildfords since January 2001. The Guildford group comprises Guildfords Markets and corporate authorised representative Guildfords Business Consultants. ASIC deemed Payne "lacked the competence and diligence required of a responsible manager" ... |
| | | Financial advisers, licensees, and superannuation trustees are facing the ire of ASIC after an investigation found they are profiting from boiler room tactics that convince members to switch funds. An overwhelming number of members are goaded into leaving ... |
| | | ... arrangements, and management buyouts. Under the agreement, Rawson Lewis will operate as a Corporate Authorised Representative of Openmarkets. OpenMarkets chief executive Dan Jowett said the company is looking to capitalise on onshore and offshore equity ... |
| | | Lanterne Fund Services was issued a $1.25 million penalty by the Federal Court for failing to comply with basic obligations, including operating with almost no compliance staff or risk management processes. In July 2022, ASIC issued civil penalty proceedings ... |
| | | ... it was found to be operating without one. For the time being, iExtend is operating under a Corporate Authorised Representative arrangement, acting as an agent of another AFSL. "We are delighted to have Peter join iExtend as chair and are fortunate to ... |
| | | ... being rebuked by ASIC for operating without an AFS Licence, iExtend is now running under a Corporate Authorised Representative (CAR) arrangement for the interim. A CAR enables iExtend to act as an agent of an AFS Licensee, meaning it is authorised to ... |
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