Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 141 - 150 of 208 results for "Statements of Advice"

QLD adviser cops five year ban

LINDA HAUSKEN  |  TUESDAY, 21 AUG 2012
... failed to determine the personal circumstances of her clients when giving advice. She also failed to provide Statements of Advice on providing recommendations concerning financial products, and failed to disclose relevant benefits, including fees and ...

Provisio SOA tool can test 'reasonable basis'

BEN COLLINS  |  FRIDAY, 27 JUL 2012
Provisio Technologies has released a comparison tool that it said can compare super funds and prepare statements of advice which are compliant with the 'reasonable basis' clause. The comparison tool lets advisors evaluate super switching options for ...

ASIC strikes against currency trader

MELANIE TIMBRELL  |  TUESDAY, 3 APR 2012
... Hassell acknowledged ASIC views that he had provided client-inappropriate advice, failed to give clients statements of advice (SOAs), did not retain records as required, failed to give clients information about his remuneration and benefits, and at times ...

AAT confirms ASIC planner ban

ELISE BURGESS  |  FRIDAY, 16 MAR 2012
... and July 2009. These breaches included failure to have a reasonable basis for advice, failure to provide statements of advice or product disclosure statements, making statements that were false and misleading in a material particular and inducing clients ...

Video SoAs on the cards

ELISE BURGESS  |  THURSDAY, 16 FEB 2012
Statements of Advice in video format is one of many new opportunities for advisers with the introduction of social media strategies to daily advice operations, discussed at the national SPAA conference yesterday. The introduction of scaled advice will ...

Advice boutique gets image shake-up

CLAIRE MCGREAL  |  FRIDAY, 7 OCT 2011
... Harris. Last month Guardian announced it was offering all its advisers a free paraplanning service for risk Statements of Advice, with plans to extend this to include any risk advice within superannuation or comprehensive investment advice over the next ...

AustralianSuper creates online advice portal

CLAIRE MCGREAL  |  THURSDAY, 6 OCT 2011
... while online advice is a "logical" and "necessary" step for customers to engage with their super, web based Statements of Advice aren't intended to replace people and advisers. "At any point in the process the member can stop and then re-engage later ...

FOFA fatigue prompts new Guardian offering

ELISE BURGESS  |  MONDAY, 26 SEP 2011
Guardian Financial Planning's 145 advisers now have access to a free paraplanning service for risk Statements of Advice. The new offering comes after Guardian surveyed its advisers and found they are suffering from FOFA fatigue. "We surveyed the advisers ...

Conversation the key to speeding up SOA

RACHEL DAVIS  |  MONDAY, 19 SEP 2011
Single issue Statements of Advice should not be consuming so much time for financial planners and dealer groups, according to an advisory technology expert. A key thought-shift in technology allows advisers to create all the information needed in the ...

Planning software's big five rated

ELISE BURGESS  |  TUESDAY, 13 SEP 2011
... adviser still taking six hours and 42 minutes to produce one SoA with COIN users 15% producing comprehensive statements of advice quicker than the slowest software. Recep Peker, senior analyst, Investment Trends, said that while providers have been working ...