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Showing 1191 - 1200 of 1226 results for "Licensees"

ASIC pleased with regional advisers

... executive director Jennifer O'Donnell said the regional surveillance provided an excellent opportunity for ASIC to meet with licensees and representatives who do not normally see the regulator in her recent contribution to the Financial Planning Association's ...

MLC takes new offer to licensees

MLC Licensees will meet with the advisory boards of its self-employed advice businesses - Godfrey Pembroke, Apogee, Garvan and MLC Financial Planning - over the next two weeks to seek their approval of its new licensee offer. MLC Licensees general manager ...

ASIC bans Queensland advisor

... records while employed as a proper authority holder and dishonestly engaged in conduct that was intended to mislead the licensees for whom he was an authorised representative. The regulator's investigation also found that in March 2004 the Queensland ...

Government releases FSR refinements

... give the industry increased flexibility that is inherent in the FSR framework. By way of example, financial services licensees will be given more scope to tailor disclosure documents to different types of clients or products." The Financial Planning ...

Choice of super advice to be evaluated

... to their needs." In conjunction with the survey the regulator is continuing to review the files of financial services licensees, monitor advertising claims, and monitor complaints and industry trends in the lead up to the introduction of the choice of ...

ASIC's 'Super Switching' campaign catches Tasmanian adviser

... superannuation funds," says Redfern. Prior to the July choice of fund legislation, the regulator will be taking steps to ensure licensees and advisers are aware of their responsibilities by offering further guidance on appropriate measures when issuing ...

AFS licensees behind the eight ball with account lodgement

Almost 15 per cent of Australian financial services (AFS) licensees are overdue with lodging their 2004 annual accounts and auditor reports with the Australian Securities and Investments Commission (ASIC). The 618 licensees with overdue accounts were ...

MLC looks for more advisers

... follows the release of a number of transitional packages by the division for advisers wanting to join one of the four MLC licensees. "MLC's proposition is not to entice advisers with short-term monetary incentives, but rather to offer a long-term commitment ...

AFSLs growing in number

... holders of AFSLs that the regulator will be conducting random checks on the compliance and risk management processes of licensees along with continued monitoring of general industry compliance.

New guidelines on conflicts for AFS applicants

... Statements 164 and 181. According to ASIC the new licensing kits details the information Australian financial services (AFS) licensees applicants must provide regarding conflicts of interest in line with the start date of 1 January 2005 for managing ...