Search Results | Showing 1 - 10 of 1065 results for "licensees" |
| | The Financial Services Council (FSC) is expanding its remit into the financial advice sector by adding six licensees to its network of members. Count, Fortnum Private Wealth, Infocus, Otivo, Rhombus Advisory, and WT Financial Group have joined FSC's ... |
| | | ... believe that JB Markets was likely to breach financial services laws. "ASIC imposes financial requirements upon AFS licensees to help ensure that they have sufficient financial resources to conduct their business in compliance with financial services ... |
| | | ... important and the case against Macquarie has sent an important message to financial institutions and other financial service licensees that they must have appropriate controls in place. "While Macquarie implemented effective controls from January 2020 ... |
| | | ... check every piece of advice individually and duplicate valid checks already undertaken by financial advisers and their licensees," JAWG said. "Professional advisers, superannuation trustees and advice licensees have consistently provided the government ... |
| | | ... fund's capability to deliver strong retirement outcomes for corporate super clients, their employees and associated licensees and advisers." Raynes spent 16 years with the US banking giant, with his time evenly split between looking after J.P. Morgan's ... |
| | | ... complaints. "They go a whole year without any complaint. Unfortunately, one of the elements of this legislation is that [licensees] need to provide a report whether you've had any complaints or not. So, a lot of licensees will be doing nil reports," ... |
| | | ... tailoring, efficient implementation, and operation of MDA programs." "The widespread adoption of managed accounts by licensees, their advisers, and by their clients is creating efficiencies in advice practices, and benefitting from professional portfolio ... |
| | | ... are spread too thinly, being asked to service too many advisers, thus limiting their ability to add true value. "As licensees, product manufacturers and investment platforms think through their optimal adviser proposition for the future, it will be absolutely ... |
| | | ... Genium. Murphy said it's an exciting time to be launching the offering. "We've listened to the needs of advisers and licensees in recent months and have developed a robust process and technology systems to support our new research offering that we are ... |
| | | ... (Putting Members' Interests First) Act 2019 (PMIF) further mandated that Registered Superannuation Entity (RSE) licensees cannot offer insurance on an opt-out basis to members with account balances under $6000 or to new members under 25 years old. ... |
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