ASIC cancels AFS licence of Trade Wind Financial Services
ASIC took this action due to a failure by Trade Wind FS to co-operate with the Australian Financial Complaints Authority (AFCA).
AFS license
ASIC imposes additional licence conditions on Poynter Hargraves
ASIC has imposed additional conditions on the Australian financial services licence of Poynter Hargraves Financial Consultants.
Australian Financial Complaints Authority names 842 non-compliant firms
A total of 842 financial firms that have failed to pay their AFCA membership levy and/or other fees.
ASIC approves 394 new Australian financial services and credit licenses in FY2020
The Australian regulator approved 394 new AFS and credit licences in the year to June 2020.
ASIC suspends license of Ballast Financial Management
The Australian regulator has suspended the AFS license of Perth-based financial advice provider until December 18, 2020.
