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Showing 271 - 280 of 680 results for "Records"

Pressure mounts on regional advice

JAMIE WILLIAMSON  |  MONDAY, 23 JUL 2018
... groups. Meanwhile, the beginning of July saw the cancellation of Dover Financial Advisers' AFSL. Publicly available records show more than 80 of its 400 financial advisers managed to transition to another licensee in the 30 days to July 6. The ASIC ...

Deductible super contributions front of mind: BTFG

HARRISON WORLEY  |  FRIDAY, 20 JUL 2018
... their clients, in a highly secure environment." BT said future updates to the platform would allow advisers to generate records of advice, and create bulk approval requests with the digital consent capability. BT said demand for increased practice efficiencies ...

IMAP to recognise managed accounts excellence

JAMIE WILLIAMSON  |  TUESDAY, 10 JUL 2018
... sight and the best are well resourced, carefully thought through, have a clear investment philosophy with decent track records and deserve to be recognised." The winners are to be determined by an independent panel including Macquarie Wealth Management ...

YBR offloads legacy wealth subsidiary

JAMIE WILLIAMSON  |  TUESDAY, 26 JUN 2018
... Australia. The transaction will see INPRO senior financial adviser Alex Kean acquire YBRIS' advice service relationships, records and recurring revenues - impacting about 150 private clients. YBR said the decision to sell is based solely on the YBR ...

PC puts spotlight on lifecycle super products

KARREN VERGARA  |  MONDAY, 25 JUN 2018
... analysis or an artificial intelligence-type approach to its data. The super fund analyses about 20,000 financial planning records, taking into account members' thoughts, activities and behavioural responses, which is then layered against academic ...

IOOF boosts adviser compliance support

KARREN VERGARA  |  TUESDAY, 19 JUN 2018
... various stages of deployment within the Alliances member AFSLs. Integrity Compliance director Rhett Das said the software records, manages and potentially mitigates risks. For example, advisers could be assigned additional e-learning or remediation immediately ...

ASIC looks into Melbourne planning firm

HARRISON WORLEY  |  THURSDAY, 7 JUN 2018
... found concerns in the firm's record keeping and compliance procedures. The regulator found Allied had failed to keep records of advice provided by one of its representatives, and did not adequately supervise the same representative. According to ...

Former Macquarie equities team launches boutique

KANIKA SOOD  |  FRIDAY, 25 MAY 2018
... is further evidence that the Pinnacle business model is attractive to outstanding investment managers with strong track records." Firetrail's 10-strong investment team also includes Macquarie alumni James Miller, who will act as co-portfolio manager. ...

MLC Life enhances mental health offering

HARRISON WORLEY  |  WEDNESDAY, 16 MAY 2018
... connect customers with a mental health nurse who serves as a consistent point of contact. After the collection of medical records, customers will undergo a video consultation with a clinical psychologist or psychiatrist if required, with a report containing ...

ASIC drags NSW adviser to court

KANIKA SOOD  |  TUESDAY, 8 MAY 2018
... Corporation; he used investor funds for himself and to repay other investors in CFS Corporation; he failed to keep proper records of client investments in CFS Corporation. Miller also continued to operate the bank account of CFS Corporation after it ...