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Showing 101 - 110 of 1904 results for "licensee"

Former United Global Capital adviser banned

JAMIE WILLIAMSON  |  MONDAY, 1 SEP 2025
... invest significant amounts of their retirement savings in the Global Capital Property Fund, which was offered by his licensee, UGC. ASIC alleges he told clients that he was only providing limited advice as they sought 'execution only advice', despite ...

Former adviser back in Australia to face theft charges

JAMIE WILLIAMSON  |  MONDAY, 25 AUG 2025
... their knowledge. It's also alleged Pearson told the clients the money had been invested when it had not, and told her licensee at the time, Ballast Financial Management, the same. Pearson allegedly falsified documents to disguise what she was really ...

Winners named in annual IMAP Managed Account Awards

MATTHEW WAI  |  FRIDAY, 22 AUG 2025
... Wealth Management Australia taking out two categories. Morgan Stanley Wealth Management Australia was the winner in the Licensee Managed Account and Multi Asset categories, while Strategic Wealth Lifestage snatched the top spot for Boutique Licensee. ...

Only half of advice practices report positive earnings: Investment Trends

MATTHEW WAI  |  WEDNESDAY, 20 AUG 2025
... advice enablement, and compliance among advisers, Investment Trends said, noting that advisers continue to rely heavily on licensee support. Self-licensed firms most often outsource compliance and audit functions, while licensed advisers lean more on ...

ASIC calls out super 'leaders and laggards'

ELIZA BAVIN  |  THURSDAY, 14 AUG 2025
ASIC commissioner Simone Constant has told super trustees more needs to be done to meet obligations under the Retirement Income Covenant. "We are three years into the Retirement Income Covenant now. Three years since trustees have been obliged by law ...

Insignia offloads IOOF Alliances to Entireti

KARREN VERGARA  |  TUESDAY, 12 AUG 2025
... Financial Planning is now known as Akumin Financial Planning. Last July, Insignia separated from its self-employed advice licensee business Rhombus Advisory but retained a 37% ownership. Rainmaker Information's assessment of the ASIC Financial Advisers ...

FAAA expands specialist education programs

MATTHEW WAI  |  THURSDAY, 7 AUG 2025
The Financial Advice Association Australia (FAAA) is looking to expand its Approved Specialisations Program, urging eligible education providers to sign up. The program has historically included specialisations in aged care, life risk and the Fellow ...

ASIC calls out trustees 'passing the buck' on super switching

KARREN VERGARA  |  THURSDAY, 31 JUL 2025
... 'Well, there's an adviser in the picture, so as trustees we have a diminished role.' "Similarly, if you are a licensee who has engaged the service of a sales referral source, you should have in place adequate monitoring and supervision arrangements ...

HUB24 recruits Vanguard sales manager

MATTHEW WAI  |  THURSDAY, 31 JUL 2025
HUB24 has appointed a leader to its platform growth team, who will be responsible for building industry relationships once he takes the reins on September 2. Matt Willis has been appointed to the newly created role of executive general manager, platform ...

Buyers demand HNW advice practices: Radar Results

KARREN VERGARA  |  TUESDAY, 29 JUL 2025
Financial advice practices that service high-net-worth (HNW) clients and earn more than $1 million in recurring revenue are in high demand from acquirers, according to Radar Results. Buyers are also keen on institutional licensees and private wealth ...