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Showing 181 - 190 of 248 results for "Statement of Advice"

SMSFs could use email for SuperStream

ALISON BEVEGE  |  THURSDAY, 11 AUG 2011
... 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 ...

Advisory firm directors may challenge ASIC ban

ALISON BEVEGE  |  THURSDAY, 7 JUL 2011
... 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. ...

ASIC accepts EU from Kilara Financial Solutions

ELISE BURGESS  |  MONDAY, 27 JUN 2011
... 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 ...

van Eyk calls for pay for ratings disclosure

PRESS RELEASE  |  FRIDAY, 17 JUN 2011
... 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 ...

Equipsuper builds intra-fund advice

ELISE BURGESS  |  TUESDAY, 14 JUN 2011
... 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 ...

UBS wealth mgmt to review compliance

ELISE BURGESS  |  FRIDAY, 18 MAR 2011
... 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 ...

ASIC clears up online disclosure rules

ELISE BURGESS  |  WEDNESDAY, 15 DEC 2010
... 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 ...

COIN buys remaining half stake in Outplan

ELISE BURGESS  |  TUESDAY, 5 OCT 2010
... 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 ...

Intrust rolls out advice

RUTH LIEW  |  TUESDAY, 28 SEP 2010
... 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 ...

Xplan tops software ratings

PRESS RELEASE  |  FRIDAY, 16 APR 2010
... 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 ...