Search Results | Showing 171 - 180 of 1904 results for "licensee" |
| | | The government has provided clarity on the second tranche of the Delivering Better Financial Outcomes reforms, offering more detail around what's included and confirming the remit of its 'new class of adviser.' The second package of reforms is aimed ... |
| | | | ... advisers undertake reasonable investigations of investment options to detect underperformance and not over-rely on advice licensee product approvals or external research ratings. "Where a product persistently underperforms, advisers should consider whether ... |
| | | | ... Congress last week, starting with the lax consequences for firms that fail to pay an AFCA determination. In essence, a licensee whose determination is paid by the CSLR will have their AFSL cancelled. "There is also another mechanism for some action to ... |
| | | | AMP has finalised its divestment of three licensees and support service business to Entireti and AZ NGA as the new owners unveil a revamped leadership team. Some 950 advisers across AMP Financial Planning, Hillross, and Charter Financial Planning now ... |
| | | | ASIC has issued new regulatory guidance for financial advisers and superannuation trustees relating to four strands of the Delivering Better Financial Outcomes (DBFO) reforms. The regulator issued two new documents regarding fee arrangements: Information ... |
| | | | ... this, the regulator said AFSLs that outsource functions remain responsible for complying with their obligations as a licensee, including the general obligation to have adequate risk management processes in place. "We expect that licensees will have measures ... |
| | | | ... Commonwealth Financial Planning Limited-Pathways advisers to transfer elsewhere. It also wound up its Financial Wisdom licensee and transferred part of its salaried advice business to AIA Australia. |
| | | | Colonial First State (CFS) and Viridian Advisory have teamed up to offer a low-cost version of financial advice that starts at $500. The arrangement, available to CFS FirstChoice superannuation, pension, and investment clients, enables those who do ... |
| | | | ... regime. The publication provides high-level insights into reporting trends from 1 July 2023 to 30 June 2024, and covers licensee population reporting, breach identification and investigation, root causes, consumer impact and remediation efforts. During ... |
| | | | ... It can also include payments to advisers with respect to member-initiated usage of advice services offered by the RSE licensee and charged to the member under agreed or activity-based advice fees. Industry funds spent the most on intra-fund advice with ... |
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