Search Results | Showing 141 - 150 of 273 results for "Statement of Advice" |
| | | ... 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. ... |
| | | | ... to how the move would improve client outcomes. In some cases a justification was provided in the client's statement of advice but was found to be a generic statement claiming the FIA-branded product would generate long-term returns. ASIC said that in ... |
| | | | ... research, equities data, as well as investment fund qualitative ratings, enabling advisers to give a more detailed Statement of Advice," SQM managing director Louis Christopher said. He added the new platform will enable SQM "to achieve its ultimate ... |
| | | | ... adviser information, ASIC said, adding some licensees were uncertain about providing documents, in particular a statement of advice to SMSF clients. Licensees told ASIC they were actively seeking training and assistance on a number of aspects of the ... |
| | | | ... against those using such terms. Separately, the deadline for financial advisers to provide retail clients with a Statement of Advice was extended by ASIC for those providing urgent superannuation advice in preparation for next week's reforms. Advisers ... |
| | | | ... engage clients in a number of financial planning processes from simple meetings, to completing applications to statement of advice delivery," McDonnell said. "It allows the adviser to document the advice process with recordable video meetings and recordable ... |
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