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Showing 1171 - 1180 of 1226 results for "Licensees"

Henry Financial Group joins Genesys

HAMISH MADDEN  |  WEDNESDAY, 25 OCT 2006
... trend for emerging financial planning businesses to relinquish their own licenses to join reputable, full service AFS licensees. "Once licensees reach a certain size they realise the best way to embed value in their businesses is to relinquish their ...

St.George to re-hire lenders as contractors

WWW.THESHEET.COM  |  TUESDAY, 15 AUG 2006
... existing mobile lenders and new mobile lenders to a variable cost structure using a licensee model. The bank said the licensees will be paid an up-front and trail commission, "but at lower levels than brokers", and, as contractors, would be responsible ...

ASIC bans broker and adviser for life

HAMISH MADDEN  |  MONDAY, 14 AUG 2006
... times," ASIC executive director, compliance, Jennifer O'Donnell, said. "Early reporting to ASIC by financial services licensees of misconduct by their representatives assists ASIC to take action of this kind."

ASIC defends AMP FP action

KATE HAGE  |  THURSDAY, 3 AUG 2006
... urge the industry to be more proactive in setting up internal and external dispute resolution procedures and reminded licensees to have in place compensation and adequate insurance to cover the costs of any consumers adversely affected by poor advice. ...

MLC promotes two in ThreeSixty

KATE HAGE  |  WEDNESDAY, 2 AUG 2006
... other providers," said Boyce. ThreeSixty provides portfolio construction solutions and approved product lists to adviser licensees aligned with the NAB group.

Compliance alone doesn't make the grade

HAMISH MADDEN  |  MONDAY, 24 JUL 2006
... forward in terms of responsible service officers," Sanders said. Initially, he said, the model was aimed at ensuring licensees were competent and performing satisfactorily. It probably did a good job of that, but somewhere and somehow the problems still ...

Paragem draws two for independent support

HAMISH MADDEN  |  TUESDAY, 18 JUL 2006
... license application we gained immediate access to the economies of scale they bring through looking after nearly 300 licensees." Paragem is also partnering with Investor Wealth to review its business operating platform and help transition the business ...

RSE licensing transition grinds to a close

HAMISH MADDEN  |  WEDNESDAY, 5 JUL 2006
... insurance. The Government required RSE licensing of superannuation trustees to enhance the safety of members' funds. Licensees are required to comply with new standards covering proper governance, managing relationships with third parties, maintaining ...

AXA provides more lending facilities

AXA Financial Advice Network (FAN) Licensees, AXA Financial Planning and Charter Financial Planning have teamed up with a third party mortgage distributor to bolster their suite of lending facilities. The new arrangement is with Alliere, a fully-owned ...

Former Westpac rep rips off $500k

... consumers and maintain confidence in the financial services industry. "Early reporting to ASIC by financial services licensees of misconduct by their representatives of assists ASIC to take action of this kind." Jarrett can choose to lodge an application ...