Search Results | Showing 41 - 50 of 1070 results for "licensees" |
| | | Many large licensees are failing to proactively remediate clients in a fair and timely manner, operating under a framework that lacks appropriate oversight and accountability. ASIC measured large licensees against standards in Regulatory Guide 277 Consumer ... |
| | | | ... indirectly liable for debts of the company, including AFCA determinations. "Directors, officers, and responsible managers of licensees may also be exposed to regulatory action by ASIC, including banning orders." Nutley added that this case shows ignoring ... |
| | | | ... issuers to comply with the design and distribution obligations. There are currently over 60 Australian financial services licensees that offer complex, high-risk OTC derivatives to retail clients in the form of CFDs, crypto derivatives, options, and ... |
| | | | ... requiring improvement in APRA's 2021 unlisted asset valuation thematic review. Valuation methodologies applied by RSE licensees were consistent with their respective valuation policies and RSE licensee practices and policies were broadly in line with ... |
| | | | ... Licensee Category and Boutique Licensee Category recognise the breadth of use of managed accounts. Evaluation of the licensees this year was enhanced with analysis of each portfolio using the BlackRock Aladdin risk and factor tools." |
| | | | ... that might be more important for advisers to consider when recommending products, he told Financial Standard. "Large licensees typically have the time, money, and resources to run deep due diligence into financial products. SuitabilityHub provides all ... |
| | | | ... welcomed Lydia Pearson as its head of distribution, responsible for leading its engagement with financial advisers and licensees. In the newly created role, Pearson reports to Watershed's managing director Adam Rowley. Effective immediately, Pearson ... |
| | | | ... Beverley-Smith, the determination, under the ambit of the Superannuation Industry (Supervision) Regulations 1994, focuses on RSE licensees, particularly those offering a blend of MySuper and lifecycle products. The crux of the framework revolves around ... |
| | | | ... traction at "the more sophisticated end of the market." "So, what we've found is the more thoughtful consultants and licensees and advisor networks, who really take the time to understand our process, are giving us a lot of support," he said. "We've ... |
| | | | ... Edge aims to enable digital adviser workflows, advanced data analytics, an integrated app store, and analysis tools for licensees, financial advisers, and super members. CFS chief distribution officer Bryce Quirk told Financial Standard that CFS Edge ... |
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