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AFS LICENCE
Financial planning
Money Management crunches the numbers on ASIC’s data on Australian financial services licence approvals and how it compares over the last three years....
Financial planning
The Australian Securities and Investments Commission has cancelled the Australian financial services licence of BBY Limited, effective 24 June, following the earlier susp...
Financial planning
An unlicensed company sought to convince the Australian Securities and Investments Commission that there was commercial advantage in it being allowed to have advisers con...
Policy & Regulation
The Australian financial services licence of one financial services providers has been cancelled while another has been revoked. ...
Financial planning
The Australian Securities and Investments Commission has announced that entities who sell funeral expenses facilities will be required to hold an Australian financial ser...
Financial planning
The Australian Securities and Investments Commission has further suspended Halifax Investments Services’ Australian Financial Services Licence....
Policy & Regulation
The Australian Securities and Investments Commission has cancelled the Australian financial services licence of Direct FX Trading Pty Ltd. ...
Financial planning
The Australian Securities and Investments Commission has suspended the Australian financial services licence of Direct FX Trading for failing to comply with the financial...
Policy & Regulation
The regulator has placed significant restrictions upon AFS licence holders that hold client money for trading in over-the-counter (OTC) derivatives....
Policy & Regulation
Two directors of financial services company, One Investment Services, have entered into an enforceable undertaking with ASIC following misconduct in their application for...
Financial planning
ASIC has cancelled the Australian financial services licence of Sydney-based company, Grey Oak Services....
Financial planning
ASIC has cancelled the AFS licence of wholesale service provider, Ergo Capital, for failure to comply with a number of its obligations....
Policy & Regulation
ASIC has cancelled the AFS licence of a Queensland-based financial services firm, Advamode Financial, at the company’s request....
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The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...
Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...
It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...