Search Results | Showing 1 - 10 of 1081 results for %22AFS%22 |
| | ... reasonable to believe that JB Markets was likely to breach financial services laws. "ASIC imposes financial requirements upon AFS licensees to help ensure that they have sufficient financial resources to conduct their business in compliance with financial ... |
| | | ... details the person's name, the type of disciplinary action, and adviser status. The disciplinary actions break down into AFS banned/disqualification, enforceable undertaking, disqualified person, credit banned/disqualification, Financial Services ... |
| | | ... failing to comply with its compliance policies and causing it to breach its obligations as an Australian financial services (AFS) licensee which jeopardised its interests. Blumenthal also breached his duties as a director of Creso by paying Tyson Scholz ... |
| | | ASIC has taken legal action against three blockchain mining companies - NGS Crypto, NGS Digital, and NGS Group - along with their sole directors Brett Mendham, Ryan Brown and Mark Ten Caten. The corporate regulator has accused the NGS companies of targeting ... |
| | | ... ensure that its representatives were adequately trained; maintain the competence to provide financial services covered by its AFS licence; take responsible steps to ensure representatives complied with the law; and do all things necessary to ensure services ... |
| | | The Federal Court ordered Prospero Markets to be wound up following an application by the corporate regulator. ASIC has been investigating Prospero Markets for non-compliance with its AFSL conditions and obligations as an OTC derivatives issuer. The ... |
| | | The lack of regulation around aged care advice has led to superficial and often conflicted advice, that can put older Australians at risk of elder abuse, according to Aged Care Steps, which is rallying for tougher protections and laws. Aged Care Steps ... |
| | | ... provisions in the Corporations Act to explicitly provide that both monetary and non-monetary benefits given by a client to an AFS Licensee or a representative of a licensee are not conflicted remuneration. The final strand of the bill will implement ... |
| | | The Australian Securities and Investments Commission (ASIC) has banned Brian Jacques Creigh from providing financial advice or being involved in a financial services business. Creigh is the director of Panacea Capital. He operated the Panacea Capital ... |
| | | David Sipina, a Croydon local, who had a role at defunct investment manager Courtenay House, has pleaded guilty to carrying on a financial services business without a licence and dealing in the proceeds of crime. Between 24 June 2015 and 21 April 2017 ... |
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