The latest issue of Financial Standard now available as an e-newspaper
|Showing 1 - 10 of 32 results for "Corporate Authorised Representative"|
|... June 2016 until 25 May 2021 and were involved in the activities of Vision Wealth Group, a corporate authorised representative of Financial Masterplan. Vision Wealth established a website to attract clients by helping them find their lost super through ...|
|... (financial) advice proposals. Under the bill, the TPB still has the responsibility for the Corporate Authorised Representative (CARs) and AFSL registrations, meaning compliance with TPB regulations is still required. "The current drafting does not meet ...|
|The Financial Planning Association of Australia used its submission on the single disciplinary body for financial advisers to renew calls to remove the Tax Practitioners Board as a regulator of the sector. While the association welcomed the plan to ...|
|... valid authorisation from an AFSL holder. The claim says PE Capital held itself out as being a corporate authorised representative with the authority to issue information memorandums for unregistered schemes and special purpose vehicle trusts. On top ...|
|A trading platform was slapped with additional conditions from ASIC for several compliance failures. ASIC is doubtful if retail OTC derivative issuer AxiCorp Financial Services has the appropriate procedures and internal controls to meet regulatory ...|
|... jurisdiction to consider a complaint against a licensee in relation to the conduct of its corporate authorised representative, specifically where the conduct of the representative was without or outside authority. AFCA has now updated its rules, at ASIC's ...|
|ASIC has commenced civil penalty proceedings against brokerage firm Union Standard International Group and its affiliates. The corporate regulator has taken action against the Sydney-based retail over-the-counter derivatives issuer and its former corporate ...|
|... its key person, Jels failed to appoint a new key person. In addition, ASIC said Jels' sole corporate authorised representative was also insolvent. The company also failed to lodge its audited accounts for the 2017-19 financial years. Meanwhile, ASIC ...|
|... additional expense, making a strong contribution to our EBITDA," the company said. TCA is a corporate authorised representative of Sequoia Group and has generated an average of $800,000 in annual income over the past three years. It will be absorbed ...|
|Sequoia Financial Group has entered an agreement to acquire a wealth group, adding about 23 advisers and $1 billion in funds under management. Sequoia Wealth Management will acquire the customer base of Phillip Capital Limited's existing advisers ...|
Australian Ethical introduced a new high conviction fund to wholesale clients, investing in a range of sectors including local healthcare, renewables and technology stocks within the S&P ASX 300.
The super industry is calling for mandated consistency on portfolio holdings disclosure after it was recommended the Future Fund be exempt from disclosing commercially sensitive information.
Capstone Financial Planning has revoked the authorisation of Mark Babbage, the Victorian financial adviser jailed for breaching Western Australia's strict border restrictions to attend the AFL Grand Final.
Ellerston Capital will terminate the Morphic Global Opportunities Fund later this month as a result of dwindling funds under management.
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