April 12, 2017 BY Valentina Kirilova

ASIC cancels AFS licence of responsible entity DD&D Securities

ASIC has cancelled the Australian financial services (AFS) licence of DD&D Securities Ltd (AFS licence 221147) for failing to comply with a number of its key obligations as a financial services licensee. In particular, ASIC found that DD&D Securities failed to: maintain membership with an external dispute resolution scheme approved by ASIC; lodge its financial…

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