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Showing 121 - 130 of 208 results for "Statements of Advice"

SelectingSuper CompareOnline enhances research depth

STAFF WRITER | THURSDAY, 20 AUG 2015

... funds and their call centres and other stakeholders looking for easy access to product information to use in Statements of Advice and market comparisons. As use of SelectingSuper CompareOnline has increased, Rainmaker has intensified its research processes ...

Advisers to remain at centre of CBA: Narev

MARK SMITH | WEDNESDAY, 22 JUL 2015

... cases but stressed it was important to get the decisions right and that it would take time to draw up new statements of advice. "We've got to accept that in the short-term we'll wear some criticism for appearing slow but in the long-term we're making ...

ASIC bans former risk adviser

ALEX BURKE | THURSDAY, 9 JUL 2015

... including failing to act in clients' best interests, engaging in misleading or deceptive conduct with regards to Statements of Advice and relying on "template SOAs containing prepopulated information". "Consumers should be confident that their financial ...

Industry moves away from upfront commissions

LAURA MILLAN | THURSDAY, 25 JUN 2015

... Investments Commission (ASIC) on policy replacement data, starting 1 January 2016. The regulator will also review statements of advice (SoA) with a view to making disclosure simpler and more effective. The debate over insurance advice remuneration models ...

SMA usage climbs

ALEX BURKE | THURSDAY, 30 APR 2015

... investing directly in shares, so for advisers this means monitoring individual stock activity and issuing statements of advice for multiple clients on a daily basis, all of which is not scalable as the business grows," said JBWere executive director ...

ASIC bans incompetent adviser

MARK SMITH | THURSDAY, 30 APR 2015

... June and December 2013, ASIC found Prasad failed to maintain adequate records, and did not provide adequate statements of advice or appropriate replacement product advice. "This case highlights the importance of record keeping by advisers," ASIC deputy ...

Westpac, Count on ASIC radar over complex product advice

LAURA MILLAN | TUESDAY, 24 FEB 2015

... then, the licensees committed to measures to address the regulator's concerns, including pre-vetting of all statements of advice (SOAs) when structured products are recommended and improved disclosure to address deficiencies. In the case of Count, ASIC ...

Dover in search of compliance staff

LAURA MILLAN | TUESDAY, 23 SEP 2014

... length and repetitiveness, do not meet the requirement of being short, concise and effective." He said that statements of advice (SOAs) between 6 and 20 pages long written in plain English are easier to understand for clients.

ASIC bans former Synchron adviser

STAFF WRITER | TUESDAY, 23 SEP 2014

... former Synchron financial adviser from providing financial services for five years for failing to provide Statements of Advice (SOAs). Michael Richard Irwin, a Rockhampton-based former financial adviser was banned on the basis that he did not have a ...

Netwealth overhauls adviser technology

ALICE URIBE | TUESDAY, 26 AUG 2014

... financial planning adviser tools have been overhauled to ensure scalable documents across fact finds and statements of advice. Workflow threads have also all been reviewed to assist offices become more efficient in the workflow process. "The advancement ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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