Search Results | Showing 161 - 170 of 1904 results for "licensee" |
| | | The number of advisers that have exited the industry over the past four or five years appears to have plateaued, albeit another decline in 2023, last year's figures suggest that the losses have stabilised, according to Rainmaker Information's 2024 ... |
| | | | Morgans Financial has toppled AMP Financial Planning (AMP FP) to become the licensee with the largest number of financial advisers. Morgans recorded 431 active advisers at the end of 2024, while AMP FP had 426. On December 20, both AFSLs had 430 registered ... |
| | | | Sanlam Private Wealth, the Australian arm of the South African Sanlam Group, has admitted to breaching licensee obligations by "failing to adequately supervise" its authorised representatives and corporate authorised representatives (CARs), following ... |
| | | | The Federal Court has found that collapsed contracts for difference (CFD) issuer, Union Standard International Group (USG) and two of its former corporate authorised representatives, BrightAU Capital (trading as TradeFred) and Maxi EFX Global AU (trading ... |
| | | | ... director of advice software solutions at Morningstar where he refined and executed business strategies for the adviser and licensee segments in Australia and New Zealand. Previously, he held business development roles with HUB24 and Innova Asset Management ... |
| | | | ... intuitive and important trigger to monitor, reliance on a single trigger may be overly simplistic and could lead an RSE licensee not perceiving broader risks, such as trends in member outflows or switching," it said. "In some cases, APRA also observed ... |
| | | | Following its announcement earlier in September, the transaction has been finalised, with Oaktree Capital Management becoming AZ Next Generation Advisory's (AZ NGA) largest shareholder with a $240 million investment. As part of the deal, Azimut retains ... |
| | | | ... exam before starting the third quarter of their professional year and be authorised by an Australian financial services licensee (ASFL) as a 'provisional financial adviser'. Those who were unsuccessful will receive feedback as to the areas of the exam ... |
| | | | South Australian financial adviser Bruce Davis has been banned for seven years by ASIC. Davis, who was the sole director and responsible manager of Wise Investment Advisers, has been barred from providing financial services, controlling an entity that ... |
| | | | Licensees are generally slow to report to ASIC because of deficient internal processes and poor monitoring of compliance with the reportable situations regime, a review found. Recent surveillance by ASIC found financial services and credit licensees ... |
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