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Search ResultsShowing 11 - 20 of 25 results for "Dover Financial Advisers"
Dover advisers turn orphans
JAMIE WILLIAMSON  |  FRIDAY, 6 JUL 2018
While there are Dover financial advisers that have managed to transition elsewhere in recent weeks, latest ASIC data shows hundreds of advisers will be without a licensee when the disgraced AFSL shutters today. Rainmaker analysis of ASIC's Financial ...
Dover AFSL cancelled, McMaster exits industry
JAMIE WILLIAMSON  |  FRIDAY, 29 JUN 2018
ASIC has accepted a Court Enforceable Undertaking from Dover Financial Advisers and Terry McMaster will leave the financial services industry. ASIC confirmed the action resulted from an ASIC investigation which commenced in 2017, with a particular focus ...
Dover exit renews self-licensing calls
ALEX BURKE  |  MONDAY, 25 JUN 2018
The collapse of Dover Financial Advisers has left more than 400 advisers with a narrow 30-day window to sign on with a new licensee, renewing calls for a more straightforward self-licensing regime. It's unclear at this stage where those 400 advisers ...
Multi-disciplinary industry trend continues: CBA
JAMIE WILLIAMSON  |  WEDNESDAY, 20 JUN 2018
... either an AFSL or a limited AFSL from January 2019 if they wish to continue doing so. In the wake of the Dover Financial Advisers scandal, Association of Financial Advisers chief executive Phil Kewin said the current wait time for ASIC to process a new ...
ASIC issues warning over Dover advisers
JAMIE WILLIAMSON  |  WEDNESDAY, 13 JUN 2018
Advice licensees considering onboarding ex-Dover Financial Advisers' authorised representatives have been warned to ramp up due diligence processes by the corporate regulator. As the fallout from Dover's shock closure continues, ASIC has reinforced ...
Industry responds to Dover shutdown
JAMIE WILLIAMSON  |  TUESDAY, 12 JUN 2018
The Association of Financial Advisers will lobby ASIC and the Federal Government to extend the transition period provided to Dover Financial Advisers' authorised representatives in the wake of the dealer group's shock closure. On Friday evening ...
What worries Aussie advisers: Natixis
KANIKA SOOD  |  TUESDAY, 12 JUN 2018
The financial services Royal Commission coupled with the recent collapse of Dover Financial Advisers suggests it should come as no surprise that financial advisers are finding it difficult to navigate Australia's regulatory landscape. The 2018 Natixis ...
ROYAL COMMISSION: Our top stories
JAMIE WILLIAMSON  |  FRIDAY, 27 APR 2018
... of the actual client. Dover roasted for 'Orwellian' protection policy The Royal Commission scrutinised Dover Financial Advisers' former client protection policy, demonstrating its essential purpose to be to exonerate the licensee of any liability in ...
Dover roasted for 'Orwellian' protection policy
JAMIE WILLIAMSON  |  FRIDAY, 27 APR 2018
The Royal Commission scrutinised Dover Financial Advisers' former client protection policy, demonstrating its essential purpose to be to exonerate the licensee of any liability in the event of misconduct by authorised representatives. Counsel Assisting ...
Royal Commission invite refused by Dover
JAMIE WILLIAMSON  |  FRIDAY, 27 APR 2018
Dover Financial Advisers was revealed as the only large scale financial advice licensee to decline the Royal Commission's request for assistance in identifying instances of misconduct. Appearing before the Commission yesterday, Dover owner Terry McMaster ...