Search Results | Showing 181 - 190 of 248 results for "Statement of Advice" |
| | ... and industry funds to just sell it through a website. Smith said the adviser wouldn't have to worry about a statement of advice or product disclosure statement, they could just put up a few websites and show them to the client. The question drew a lot ... |
| | | ... equity return agreement between Seagrims and Astarra, and money received for advertising, failing to give a statement of advice to a client when recommending the client switch funds and failing to make reasonable inquiries about a client's personal circumstances. ... |
| | | ... before recommending a switch, did not consider clients own personal circumstances and failed to provide a Statement of Advice document in some cases. As such, the planning group has offered to take on an independent consultant for 13 months who will ... |
| | | ... years in the form of annual disclosure statements, any related payments for product ratings listed in the Statement of Advice should also be disclosed," said van Eyk CEO Mark Thomas. "This would be akin to a wealth warning to unsuspecting investors whose ... |
| | | ... advice model, creating the Member Adviser service where super members can seek limited financial advice and a statement of advice for a one-off fee of $75. Equipsuper's 54,000 members can now access general, intra-fund and personal advice through its ... |
| | | ... management, poor training and education, poor compliance culture and framework and system flaws in the production of statement of advice. Tony D'Aloisio, ASIC chairman, said the EU should allow for quick compensation for any UBS WMA clients who suffered ... |
| | | ... other providers can legally send electronically. This means that financial planners are able to send out a statement of advice online, as long as the client is directed towards a website where full disclosure can be found by the client. ASIC deputy chairman ... |
| | | ... focused on facilitating advice and this is another means to do that; helping to achieve consistency in the Statement of Advice process and further strengthening our capabilities in this area," McCabe said. COIN is a subsidiary of the Macquarie Group ... |
| | | ... sacrifice options. "This was a tremendous innovation that will provide members with a legitimate and comprehensive statement of advice to implement - online in their own time and at no cost," he said. Intrust360 will form part of the fund's overall package ... |
| | | ... AdviserNETgain, VisiPlan, Navigator n-link. Coin Office retained its top position for the best modeling and statement of advice production functionality. While, Asgard's AdviserNETgain won the best integrated planning/platform hybrid in 2009. The report ... |
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