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Showing 211 - 220 of 273 results for "Statement of Advice"

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 ...

SA adviser banned for no AFSL

ASIC RELEASE  |  THURSDAY, 18 MAR 2010
... sufficient detail about the advice provided and the basis on which the advice was given. He also provided a Statement of Advice to a client after he had traded shares on their behalf. Fleetwood has the right to appeal to the Administrative Appeals Tribunal ...

ESI Super targets younger members on advice

RUTH LIEW  |  TUESDAY, 2 MAR 2010
... where members seek advice on specific single issues such as investment choice and insurance, which leads to a statement of advice. "[This tier] is the one we're trying to develop to get our younger members involved in seeing the value of advice," she ...

Coin upgrades SoA services

COMPANY RELEASE  |  THURSDAY, 18 FEB 2010
Coin Software has rolled out a new Comprehensive Statement of Advice (SoA) template to help financial advisers with their admin needs. The launch was part of an upgrade for Coin Office v3.4. The Comprehensive SoA template allows advisers to provide ...

AMP planners back fee for service APL

MICHAEL HOBBS  |  TUESDAY, 9 FEB 2010
... late, we'll work with them on that," he said. "We've even said to them that we'll get the wording right in our statement of advice if you cant get your PDS inline with that from our date. Eventually they'll have to show it that way on the PDS." AMP announced ...

FPA names Value of Advice winners

MICHAEL HOBBS  |  FRIDAY, 20 NOV 2009
... consultant at Strategic Wealth Management. The FPA award committee found the Wilson's advice went beyond the statement of advice. For example, Wilson helped two of his clients, a couple over 50 years of age, to save more than $54,000 in interest by moving ...