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Showing 181 - 190 of 208 results for "Statements of Advice"

Bannned AFS planner to appeal

CHRIS NICHOLLS | MONDAY, 24 SEP 2007

... his appeal to the Administrative Appeals Tribunal. ASIC banned Parker after it found he sent 90 identical statements of advice to different clients towards the end of September 2006. The statements all recommended clients rollover their superannuation ...

Coin buys into paraplanning business

HAMISH MADDEN | MONDAY, 9 JUL 2007

... consult with each other about the likes and dislikes of each adviser. "This means the plans we prepare, and the Statements of Advice that go with the plans, will have a consistency year after year as we continually improve our service and learn more ...

Government offers industry the simple life

CHRIS NICHOLLS | FRIDAY, 25 MAY 2007

... longer having to produce a prospectus or PDS for issues of quotes securities or interests in managed schemes. Statements of advice will only be required for clients investing over $15,000, and the threshold for large companies for reporting purposes ...

Planning business gives teachers bad advice

HAMISH MADDEN | TUESDAY, 15 MAY 2007

... Capital advised 170 teachers to switch from First State Super to a fund they recommended. The Court found the statements of advice (SoAs) given to clients were misleading or deceptive since their did not properly explain the higher fees in the recommended ...

Securitor head moves to St.George Insurance

... group announced that it has launched the second phase of this new technology allowing advisers to generate statements of advice online and other reports faster and with less room for manual errors. Michelle Baltazar

Family banned by ASIC and AFSL revoked

HAMISH MADDEN | MONDAY, 13 NOV 2006

... Terence was banned for two years for failing to provide a statement of advice and for providing incomplete statements of advice on other occasions. His wife Wendy was banned for one year for failing to ensure ABIA conformed to legal requirements. Craig ...

Sen Chapman explains Parliamentary Inquiry

ALEX DUNNIN | TUESDAY, 31 OCT 2006

... up costs and making providing advice to all but the most wealthy quite difficult, the need to streamline Statements of Advice (SoAs), the need to clarify how general advice is quite different to personal advice and how promotional costs for super funds ...

Super adviser loses license after ASIC super switching survey

... Redfern, ASIC's executive director of enforcement. Adding to this, SMS Advising Group also failed to provide statements of advice (SoA) to its clients, failed to lodge financial records with ASIC and had inadequate compliance and complaints handling ...

Life insurers and 25 AFSL holders under ASIC microscope

... stockbrokers. The most common reasons given were related to disclosure obligations, incorrect fees and charges, statements of advice and unit pricing. As a result of the breach notifications, ASIC said that a majority 431 cases were resolved and six ...

Macq Cash Management Trust swells to $12bn

... management system for their clients. "The Federal Government's decision that advisers no longer need to complete Statements of Advice in order to set up a CMT makes the CMT even easier for advisers to use with their clients." Roderick believes there ...

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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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