Tag Archive for: afs licensee
ASIC’s Report 830: reportable situations and substantial holding notices — the key watch items for AFS licensees and fund managers
ASIC’s Regulatory simplification progress report (REP 830)…
Regulatory Review of Lead Generation Practices in the Financial Advice Sector
Advice licensees that use third-party lead generation services…
AFS licensee sued for cybersecurity and licensee obligation failures
The Australian Securities and Investments Commission (ASIC) has…
Viridian Equity Group Licence Cancelled Following Compensation Payments
The Australian Securities and Investments Commission (ASIC) has…
AFS licensee update – client money rule changes
The Federal Government has released a policy paper seeking feedback…