AFS license, featured, Quattro Management
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ASIC has cancelled the Australian financial services (AFS) licence of Quattro Management Pty Limited.
AFS license, cyber security, featured
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ASIC, Australia’s markets and financial services regulator, will take enforcement action when an AFS licensee does not meet its obligations.
AFS license, featured, RI Advice
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The Federal Court has found Australian Financial Services (AFS) licensee, RI Advice, breached its license obligations.
AFS license, Australia Forex regulation
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The Australian Government proposes an exemption from the requirement to hold an AFS license for foreign companies.
AFS license, Maliver
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The Federal Court has found Melissa Caddick and her company, Maliver, carried on a financial services business without an AFS licence.
AFS license, Australian Forex license
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In 2020–21, ASIC finalised 1,965 applications in relation to AFS licences and credit licences, approving 776 AFS licenses.
AFS license, Halifax auditor, Halifax Investment Services
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Former Halifax Investment Services Pty Ltd auditor Robert James Evett’s company auditor registration has been cancelled.
AFCA, AFS license, Trade Wind FS
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ASIC took this action due to a failure by Trade Wind FS to co-operate with the Australian Financial Complaints Authority (AFCA).
AFS license, Poynter Hargraves
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ASIC has imposed additional conditions on the Australian financial services licence of Poynter Hargraves Financial Consultants.
AFCA, AFCA membership, AFS license, Australia Forex regulation
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A total of 842 financial firms that have failed to pay their AFCA membership levy and/or other fees.
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