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Showing 131 - 140 of 273 results for "Statement of Advice"

Former Suncorp adviser banned

HARRISON WORLEY | WEDNESDAY, 18 APR 2018

... failed to make reasonable enquiries in the relevant circumstances of his clients, while also not providing a statement of advice to clients prior to recommending they establish their own Self-Managed Super Fund. ASIC conducted surveillance on Grubwinkler ...

Netwealth sells Pathway

JAMIE WILLIAMSON | FRIDAY, 13 APR 2018

... compliance coverage including daily oversight, targeted adviser auditing, best interest metrics and automated statement of advice vetting. It also has a comprehensive climate risk analytics platform.

IRESS acquires digital advice compliance business

ALEX BURKE | WEDNESDAY, 4 APR 2018

ASIC accepts EU from Brisbane adviser

KARREN VERGARA | FRIDAY, 19 JAN 2018

... the longer-term impact on clients' retirement savings, as well as provide accurate client information in the statement of advice (SOA). The enforceable undertaking will see Wright undergo additional training in providing financial product advice and ...

ASIC takes further action against MyPlanner

JAMIE WILLIAMSON | WEDNESDAY, 20 DEC 2017

... relationships with external parties and the remuneration agreements in place. Fraser also failed to provide a statement of advice when personal advice was provided. At the time of the misconduct, Fraser was an authorised representative of MyPlanner and ...

Former CBA-aligned adviser banned for three years

ALEX BURKE | FRIDAY, 1 DEC 2017

... 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 ...

Centrepoint adviser banned

JAMIE WILLIAMSON | TUESDAY, 28 NOV 2017

... 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 ...

Perth planner named Professional of the Year

KARREN VERGARA | THURSDAY, 23 NOV 2017

... 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 ...

Advice the face of wealth management evolution

DARREN SNYDER | THURSDAY, 16 NOV 2017

... 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 ...

ASIC remains firm on IFA definitions

DARREN SNYDER | TUESDAY, 14 NOV 2017

... 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) ...

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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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