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Showing 161 - 170 of 1132 results for "Representatives"

ASIC acts to combat financial inequality for First Nations people

ANDREW MCKEAN | WEDNESDAY, 15 FEB 2023

... result of extensive consultations with stakeholders, including First Nations people, financial services industry representatives, government departments, and regulators. ASIC identified several key learnings through the consultation, including the recognition ...

Super, advice class actions dampen CBA results

KARREN VERGARA | WEDNESDAY, 15 FEB 2023

... advice businesses. One class action alleges Count Financial (which is now owned by CountPlus) and its authorised representatives acted in misleading or deceptive conduct and received commissions but provided no advice. A trial date is set for March 2024. ...

Zurich wins group insurance mandate

KARREN VERGARA | TUESDAY, 14 FEB 2023

... of superannuation members." The super fund recently unveiled a new-look board, appointing member and employer representatives from both the energy industry and local government following the integration of Energy Super and Suncorp's superannuation unit. ...

Fiducian expands adviser base, increases FUA

KARREN VERGARA | MONDAY, 13 FEB 2023

Fiducian saw the number of its financial advisers grow from 66 to 84 representatives in the second half of 2022 and flagged that another five franchises are in the process of joining the fold. Releasing its half-year report on the ASX this morning ...

More DASS complainants flock to AFCA

KARREN VERGARA | MONDAY, 6 FEB 2023

... investment in the ASX-listed US Masters Residential Property Fund (URF) and related products between 2015 and 2019. Six representatives did not conduct a reasonable investigation of the clients' circumstances before providing the advice, according ...

Wilsons Advisory fined $550k by ASIC MDP

JAMIE WILLIAMSON | FRIDAY, 3 FEB 2023

... high end of careless rather than as reckless or intentional." It said the firm was overly reliant on its trading representatives as a control and should have had more robust risk management systems in place. That said, ASIC added that Wilsons had an ...

Brighter Super revamps board structure

JAMIE WILLIAMSON | TUESDAY, 24 JAN 2023

... arrangements, however the board opted to alter the composition, giving the fund eight directors - three member representatives, three employer representatives, and two independent directors. The independent directors are Ron Dewhurst and John Smith. ...

AAT upholds AFSL cancellation

CHLOE WALKER | THURSDAY, 12 JAN 2023

... financial services business following concerns it had breached several of its legal obligations, including that its representatives were not adequately trained or competent, and that the firm did not have a compliant dispute resolution system in place. ...

ASIC abandons $500k SMSF threshold

ANDREW MCKEAN | FRIDAY, 9 DEC 2022

... removed." Earlier this year, the SMSFA wrote to ASIC requesting that it review its guidance for AFSLs (and their representatives) who provide advice to retail clients about SMSFs. "In particular, references in ASIC INFO 206 to SMSFs with balances below ...

DASS clients pushed to accept paltry recoupment

ANDREW MCKEAN | FRIDAY, 2 DEC 2022

... inappropriate advice and not meeting client best interest obligations. The Federal Court found that six Dixon Advisory representatives didn't act in the best interests of eight clients on 53 occasions. Each instance involved advising the clients ...

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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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