Search Results | Showing 131 - 140 of 1940 results for "licensee" |
| | | ... pathway. ASIC said of the remaining 3459 yet to meet the standard, 1371 may be eligible for the experience pathway but their licensee is yet to notify ASIC of this. Further, unless exempt, relevant providers have until the end of the year to complete ... |
| | | | Responding to the Treasury consultation on the Compensation Scheme of Last Resort (CSLR), the SMSF Association (SMSFA) agrees the most efficient and equitable way to fund the special levy is to spread it across all Australian Financial Complaints Authority ... |
| | | | ... range of consultants and influencers from asset managers. "Adviser practices are leveraging a combination of research (licensee and external), asset consultants and in some cases platforms to support their decision making," Spittle said. "For asset managers ... |
| | | | InterPrac Financial Planning wants to rid itself of remediation obligations regarding the collapse of the Shield Master Fund and First Guardian Master Fund, saying that victims should be "fully compensated" via superannuation funds' reserves. InterPrac ... |
| | | | ASIC has culled more than 9240 pages of regulation since the start of the year and is calling for more ideas for regulatory simplification. A new report, aptly named Regulatory Simplification, seeks input on a range of initiatives aimed at making regulation ... |
| | | | In its submission to the Treasury consultation on the Compensation Scheme of Last Resort (CSLR) Special Levy for 2025/26, the Financial Advice Association Australia (FAAA) said financial advisers should not be expected to pay more than the $20 million ... |
| | | | ... invest significant amounts of their retirement savings in the Global Capital Property Fund, which was offered by his licensee, UGC. ASIC alleges he told clients that he was only providing limited advice as they sought 'execution only advice', despite ... |
| | | | ... their knowledge. It's also alleged Pearson told the clients the money had been invested when it had not, and told her licensee at the time, Ballast Financial Management, the same. Pearson allegedly falsified documents to disguise what she was really ... |
| | | | ... Wealth Management Australia taking out two categories. Morgan Stanley Wealth Management Australia was the winner in the Licensee Managed Account and Multi Asset categories, while Strategic Wealth Lifestage snatched the top spot for Boutique Licensee. ... |
| | | | ... advice enablement, and compliance among advisers, Investment Trends said, noting that advisers continue to rely heavily on licensee support. Self-licensed firms most often outsource compliance and audit functions, while licensed advisers lean more on ... |
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