AFSL
Editorial
Mike Taylor writes that when the Government introduced the ‘significance test’ to the AFSL breach reporting regime in 2003 it was seen as sensible moderation but all that...
Financial planning
The corporate regulator has cancelled the AFSL of mortgage scheme responsible entity, DD&D Securities for failing to comply with obligations....
Financial planning
Capstone Financial Planning has advised that it is not related to Capstone Capital after the corporate regulator cancelled Capstone Capital’s AFSL....
Financial planning
The corporate watchdog has cancelled the AFSLs of Capstone Capital and Rebate Financial Services....
Financial planning
ASIC has cancelled the AFSL of liquidated firm, Aquaint Capital, the responsible entity for Aquaint Income Fund....
Financial planning
ASIC has cancelled Sovereign MF’s AFSL as liquidators are in the final stages of winding up its schemes....
Financial planning
ASIC has cancelled the AFS licence of a Sydney-based firm, Core Insurance, for failing to lodge financial statements and auditor reports. ...
Financial planning
ASIC has refused to grant relief to an entity seeking exemption to hold an AFSL to develop and use a robo-advice tool for use by super fund trustees on their websites....
Financial planning
ASIC has concluded monitoring dealer group, Lionsgate Financial Group after it imposed additional conditions on the firm’s AFSL in 2013 for failure to ensure its advisers...
Financial planning
A former Guardian adviser found moving to a new licensee as an authorised representative provided her with comprehensive insight into her business and ASIC’s compliance p...
Financial planning
A law firm has warned AFSLs and credit licence applicants can expect ASIC to take a tougher approach to assessing their applications but the exact requirements were not c...
Financial planning
ASIC has suspended the AFSL of Paramatta-based firm, Rural and General Insurance Broking, for failing to lodge financial statements....
Policy & Regulation
ASIC has cancelled Lotus Securities AFSL after it breached several of its key obligations. ...
Financial planning
ASIC cancelled The Sharemarket College’s AFS licence and banned its responsible managers from providing financial services for making misleading claims....
Life/Risk
ASIC has cancelled the Australian financial services license held by Marigold Falconer International Limited....
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Podcast
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...