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LICENCE CANCELLATION
Financial planning
The corporate regulator has cancelled the AFSL of a Queensland-based financial services provider, having held the licence since mid-2016....
Financial planning
As the first quarter of 2024 comes to a close, Money Management looks back on the corporate regulator’s bans and AFSL cancellations in the financial advice sector....
Financial planning
NextGen Financial Group has bid farewell to its remaining financial advisers following ASIC’s cancellation of its AFSL, contrasting the firm’s peak of over 100 advisers i...
Financial planning
The Australian Securities and Investments Commission ended 2021 with a raft of fines, bannings, licence cancellations, and a bankruptcy notice....
Financial planning
Frederick Ackerman has been banned by the corporate watchdog for four years and the advice firm he was an authorised representative of, Pure Strategy, had its licence can...
Policy & Regulation
Two financial services firms have had their licences cancelled by the corporate regulator for failing to submit audited accounts and meet licensee obligations. ...
Financial planning
FS Securities, Your Super Life, and MyPlanner Australia have all had their Australian financial services licenses cancelled....
Financial planning
The Australian Securities and Investments commission has cancelled the Australian financial service licence of KP International Group Australia due to resignation of all ...
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MARKET INSIGHTS
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...