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Showing 1 - 10 of 60 results for "Corporate Authorised Representative"

ASIC investigates potential $138m scam

ELIZA BAVIN  |  WEDNESDAY, 21 OCT 2026
... to wholesale clients only. Part of ASIC's investigation concerns whether Australian-based corporate authorised representative entities provided retail services when MGF Capital's licence only allowed the provision of financial services to wholesale clients. ...

Platinum awards mandate, changes fund name

MATTHEW WAI  |  TUESDAY, 20 OCT 2026
... as previously announced by L1 Group in September. East Rocky Biotech Asset Management is a corporate authorised representative of L1 Capital, and will provide distribution, operational, compliance and administrative support to the fund. East Rocky Asset ...

Former Income AM director launches fixed income advisory

MATTHEW WAI  |  FRIDAY, 9 OCT 2026
... no "megalomaniac" to rapidly grow his presence across the country. AFIA is operating as a corporate authorised representative under Alethia Partners' Australian financial services licence. Bruce was the executive director of capital markets at Income ...

New alternative investment firm lands in Sydney

MATTHEW WAI  |  MONDAY, 20 JUL 2026
... a platform for investors to access very high risk-adjusted returns." Civitas operates as a corporate authorised representative of Bolt Capital's Australian financial services licence.

ASIC slaps adviser with 10-year ban, strips AFSL

MATTHEW WAI  |  FRIDAY, 19 JUN 2026
... when he was the sole director and financial planner of Logic Financial Services that was a corporate authorised representative of AMP Financial Planning.

ASIC expands list of super lead generation entities

VINNY VUCAGO  |  THURSDAY, 18 JUN 2026
ASIC has named 19 additional entities involved in superannuation lead generation activities as part of an ongoing review into business models that may encourage consumers to switch super funds unnecessarily or inappropriately. The regulator updated ...

Perfect regulatory certainty in digital economy not 'realistic': ASIC

MATTHEW WAI  |  WEDNESDAY, 17 JUN 2026
... was raised with us that others may wish to bring themselves into the regime by becoming a corporate authorised representative.... we're going to reissue the no-action letter, including a couple of other scenarios and methods by which a firm can bring ...

Openmarkets makes private wealth play

JAMIE WILLIAMSON  |  TUESDAY, 5 MAY 2026
Openmarkets is expanding into private wealth, with plans to attract 50 financial advisers over the next three years. Openmarkets' private wealth advisory has onboarded several new advisers across Australia in the past 12 months as part of a strategic ...

ASIC bans former adviser Rhys Reilly for 10 years

KARREN VERGARA  |  MONDAY, 13 APR 2026
... future." Reilly was an authorised representative of InterPrac Financial Plannaing under the corporate authorised representative of Rhys Reilly Pty Ltd from 29 March 2017 to 20 May 2025. Between 21 May 2025 to 15 August 2025, he was authorised directly ...

Another former Venture Egg adviser slapped with four-year ban

MATTHEW WAI  |  TUESDAY, 31 MAR 2026
... became an authorised representative of Interprac Financial Planning and moved to become a corporate authorised representative of Reilly Financial in the following year. Interprac is being sued by ASIC over its failures to ensure representatives acted ...
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