Search Results | Showing 91 - 100 of 1940 results for "licensee" |
| | | While over 2000 financial advisers had not yet met the qualifications standard by the end of 2025, Rainmaker Information analysis shows just a quarter of them have ceased their authorisation. According to Rainmaker Information analysis of the ASIC Financial ... |
| | | | Morningstar has made two key appointments to its managed portfolios team - a national sales lead and an investment specialist. Vijay Srinivasan has been appointed to the former role, and Clint Abraham as national director, investment specialist. Srinivasan ... |
| | | | In conversation with key industry professionals, the prospects for financial advisers in 2026 orbit around an evolving regulatory landscape, positioning and sector focus, and portfolio construction and global allocation. Fradley Advice specialist financial ... |
| | | | ... and leading risk management. Brady's experience includes leading BT Financial Group's platforms incidents, and licensee development and operations units. She also worked in senior roles at Macquarie and CFS. Frawley said he chose to be involved ... |
| | | | The Federal Court has ordered licensee RM Capital to pay a $575,000 penalty and its authorised representative SMSF Club to pay $350,000 over conflicted remuneration breaches. The penalties follow ASIC succeeding in its case against RM Capital in 2024 ... |
| | | | There was no shortage of news impacting the financial advice community this year, with advisers bearing the brunt of negative sentiment in the wake of First Guardian and Shield collapses. But there were some bright spots throughout the year, including ... |
| | | | Sequoia Financial Group's embattled licensee and adviser services division flagged it is currently making healthy earnings but expects to take a hit from the First Guardian Master Fund and Shield Master Fund debacle. The unit, which is embroiled in ... |
| | | | ... on the revenue. It said it is experiencing strong organic growth, which has increased its ranking to number two in the licensee market, driven by continued adviser recruitment and high retention rates. Centrepoint saw its net profit after tax (NPAT) ... |
| | | | ASIC has made changes to the regulatory guidance on managing conflicts of interest for Australian financial services licence (AFSL) holders, with the changes informed by its surveillance of private markets. The updated Regulatory Guide 181 AFS Licensing ... |
| | | | The professional indemnity insurance (PII) sector will be forced to play a bigger role in making the Compensation Scheme of Last Resort (CSLR) sustainable, Assistant Treasurer Daniel Mulino proposes, as the Opposition slams the scheme for "constantly ... |
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