Search Results | Showing 71 - 80 of 248 results for "Statement of Advice" |
| | ... recommendation. The stock the adviser recommends crashes by 25% and, as the client is a wholesale investor, there is no Statement of Advice. "The code, which governs ethical behaviour and values, would suggest that ethically you should treat this person ... |
| | | ... that went to Tupicoffs, with the FPA Paraplanner of the Year Award presented to Lachlan Haigh. "Lachlan's Statement of Advice (SOA) submission clearly shows excellence in paraplanning, including demonstration of how his work and research made significant ... |
| | | ... future of your practice is paper-free and prosperous. Earlier this year, the FPA established The Future of the Statement of Advice Working Group which has now determined video, audio, imagery, infographics, graphs and even quizzes are the way forward. ... |
| | | ... client, Dover contravened the law. Some 19,402 clients received the policy in total, provided as a link within a Statement of Advice. During the course of the case, Dover and McMaster contended there was no proof any clients had been misled as there ... |
| | | ... According to documents filed with the court, the advice provided was personal in nature and provided without a Statement of Advice. False and misleading statements about superannuation, insurance products and services were also made in the promotion ... |
| | | ... positive feedback. Between the two services, Plenty and Plenty Plus produced approximately an average of one statement of advice a day across both services. The regulator expressed concerns that the level of inquiries made by the robo-advice tools about ... |
| | | ... accurate," Steller said. He used the example of Nod, an AI driven document generating bot that is able to prepare a Statement of Advice. The Nod bot generates in seconds what takes paraplanners hours or even days. It also has the ability to read all ... |
| | | ... says the cost of providing compliant advice is "uncommercial" due to all that is required before the initial Statement of Advice is presented. "While I appreciate and support the need for operating in a compliant manner when providing advice, I believe ... |
| | | ... found Goudie generated fees and commissions for himself. He also failed to give a number of his clients a Statement of Advice. Commissioner Danielle Press said ASIC's decision reflects its expectation that financial advisers comply with the law and act ... |
| | | ... self-managed superannuation fund to be managed by his practice. She refused but the foundation piece of the resulting Statement of Advice was the establishment of said SMSF. Had McKenna followed the advice, she would have forfeited a $500,000 deferred ... |
|