Search Results | Showing 111 - 120 of 248 results for "Statement of Advice" |
| | | ... the interests of his client over his own. Further, in both cases Rao failed to provide the clients with a Statement of Advice. In response, Centrepoint Alliance said it has fully co-operated with ASIC in its investigation into Rao. "Due diligence was ... |
| | | | ... the interests of his client over his own. Further, in both cases Rao failed to provide the clients with a Statement of Advice. ASIC found that Rao was not adequately trained or competent, and also determined that he demonstrated a lack of professionalism ... |
| | | | ... was recognised for his commitment to excellent client service, mentorship and innovative ideas around the Statement of Advice (SOA) supplement. FPA chief executive Dante De Gori acknowledged Hayward for understanding that trust and respect is earnt through ... |
| | | | ... globally. "We have created definitions around advice that are not workable and we've become so obsessed about a Statement of Advice in the regulatory environment," he said. "Advice has become so regulated that it has preserved the rich." The former AustralianSuper ... |
| | | | ... changes to RG 175 to reflect the changes that will be made to RG 90. ASIC is going to replace the example Statement of Advice (SOA) in RG 90 with a new example SOA. The updated RG 90 will be released shortly. The Association of Financial Advisers (AFA) ... |
| | | | ... also traded in client accounts that was inconsistent or contrary to, the investment strategy agreed in the Statement of Advice. ASIC commissioner Cathie Armour said: "Financial advisers are expected to act with honesty and in the interests of their clients. ... |
| | | | ... then decays quickly when the client leaves and you then have to manually summarise the fact-find, create the Statement of Advice, review it, send it out and manually construct a portfolio," he said. Symons urged advisers not to waste a crisis. "This ... |
| | | | ... then decays quickly when the client leaves and you then have to manually summarise the fact-find, create the Statement of Advice, review it, send it out and manually construct a portfolio. "Technology can take all that pain away for you," he said. Further ... |
| | | | ... pricing examples around how certain components are priced, including: Initial meeting; fact find meeting; statement of advice (SoA); implementation - as disclosed in your SoA; service agreements - as disclosed in your SoA; and the claims management service. ... |
| | | | ... service, Wivell Plater added. ASIC is requiring the MDA operator now to undertake a suitability review of the statement of advice (SOA) as provided by the external adviser to determine if the MDA contract and investment program might not be suitable. ... |
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