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Showing 1181 - 1190 of 1226 results for "Licensees"

Count licensees sign on for DMS

KATE HAGE  |  FRIDAY, 5 MAY 2006
... others, while fund manager information is automatically processed. DMS's CEO John Brabender said Count is among other licensees looking to streamline their back office systems.

Life insurers and 25 AFSL holders under ASIC microscope

... six licenses have been varied. However, alongside the formal investigations on the 25 breaches, ASIC is monitoring the licensees' progress in 63 cases and 30 licensees remain under surveillance. Michelle Baltazar

Accountants come under shadow shop radar

KATE HAGE  |  MONDAY, 10 APR 2006
... said. Of the 306 financial advisers that were unwittingly surveyed, 22 unlicensed advisers, who were representatives of licensees, gave advice to consumers on superannuation switching, 17 of which were accountants. ASIC found that 13 of those strayed ...

ASIC shadow shopping: the good, the bad and the ugly

... chairman Jeff Lucy has said that as a result of the survey, they will make further enquiries into the conduct of 14 licensees, of which six are already the subject of ongoing ASIC enquiries. Lucy pointed out that, alarmingly, a third of the advice in ...

ASIC too soft on AFSL applicants: Aud Gen

... non-licensing funds. McPhee's recommendations include a proposal to shift more resources back into the surveillance of licensees, which ASIC reported was well underway, with plans to undertake approximately 1,200 FSL surveillance activities in the 2005-06 ...

Compliance in FSR advertising going to be difficult: Minter Ellison

... abide. He mentioned that while ASIC called for 'simplicity' and breadth in PDS', they had nevertheless pulled up a lot of licensees with demands for additional information, which he added, can at time be "totally superfluous". The search for higher yield ...

AFS buy back Zurich's interest

... advisers and its clients, given the trend towards greater disclosure and transparency on the part of financial services licensees." Brown added, "Zurich Australia is primarily intermediary focused. Our distribution strategy is to partner with selected ...

ASIC issues guidance on general advice warning and SOAs

... of Advice (SOA) and released a proposal to reduce the repetition of advice warning for Australian financial services licensees and their representatives. The SOA example and consultation paper on general advice warning were part of the projects for the ...

ASIC releases super switching study results but FPA not satisfied

... conflict of interest situation. Acting chair for ASIC Jeremy Cooper says, "The findings highlighted some areas where licensees and advisers needed to lift their game. In particular, we identified some instances of misconduct during the surveillance ...

Adviser business moves to Garvan Financial Planning

... planning business purchase for Rose with the new business combined with his existing business from Financial Wisdom. MLC Licensees NSW state manager James Meade says, "We are looking forward to giving the business access to the practice management capability ...