Search Results | Showing 121 - 130 of 1071 results for "Licensees" |
| | | ... necessary to ensure that financial services were provided efficiently, honestly and fairly. "ASIC expects all wholesale licensees to reduce risk by ensuring their businesses develop, implement and maintain robust risk and compliance procedures," Court ... |
| | | | ... Planning Association (FPA), the Association of Financial Advisers (AFA), the Financial Services Council (FSC) and other licensees to find common ground and create a united voice." |
| | | | ... Centrepoint noted its extensive adviser network, acquisition of ClearView's advice business and growth in a time when other licensees have shrunk. "Industry consolidation is a key theme that Centrepoint has pursued over the past 24 months and Centrepoint ... |
| | | | ... The Quality of Advice Review received 130 submissions from industry stakeholders including associations, super funds, licensees, technology providers, life insurers and consumer groups. Of the submissions, 18 are confidential. The final report from the ... |
| | | | ... applications for corporate directors, insurance arrangements for corporate directors, and financial resource requirements for licensees that are corporate directors and responsible entities". ASIC said it will now accept re-lodgment of certain proof ... |
| | | | ... available mechanism to obtain certainty or alternatively to have a regular forum between ASIC, the associations and licensees to resolve matters of regulatory uncertainty. We would also recommend a forum to assist the compliance consulting community ... |
| | | | ... cant hold a product that fails the performance test for a second consecutive year, until a future test is passed. "RSE licensees are expected to have administrative processes in place to ensure they comply with their legislative obligation to prevent ... |
| | | | ... expansion in the financial advice market. "We are seeing significant interest from financial planning practices and licensees for our software, services, research and data and these two new appointments are key steps in our long-term growth strategy," ... |
| | | | ... its latest cost recovery implementation statement, ASIC proposed a minimum levy of $1500 plus $1142 per adviser for licensees that provide personal advice to retail clients on relevant financial products. The $1500 flat per licensee charge remains unchanged ... |
| | | | Following on from RI Advice's Federal Court loss, the corporate regulator has laid out its expectations of licensees when it comes to cybersecurity. Just last week, in what was an Australian-first, the Federal Court found RI Advice failed its obligations ... |
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