Search Results | Showing 11 - 20 of 1222 results for "Licensees" |
| | | ... Service, presented by Financial Standard. NEOS was selected as the winner following an online survey of financial advisers, licensees and support staff, rating insurers across various service parameters that can critically affect their business. This ... |
| | | | ... unlicensed financial advice or engaging in misleading or deceptive conduct, as well as commencing a review of several licensees and their supervision of 15 finfluencers operating under their licences. This comes as ASIC continues working alongside 16 ... |
| | | | ... national director, investment specialist. Srinivasan oversees the distribution strategy for its managed portfolios across licensees, platforms, advice practices and financial advisers. Abraham works alongside the account managers and business development ... |
| | | | ... education standard. It also wants better support for existing financial advice education providers, and guidance for licensees. "We strongly support the proposal and urge the government to progress with these reforms as soon as possible. This will make ... |
| | | | ... jurisdiction', as introduced by the FMI reforms," ASIC said. The regulator also proposes updating the guidance to require licensees to notify ASIC when a person acquires, or ceases to hold, more than a specified level of voting power in a licensee ... |
| | | | ... guidance; its approach to applying discretion in the regime, where appropriate; standard conditions that apply to platform licensees; and a potential streamlining of the licence variation process for certain cohorts of firms. "ASIC will develop any new ... |
| | | | ... changes to research house ratings. The standard also calls for heightened due diligence of financial advisers and advice licensees before onboarding them to the platform. The standard says platforms should enquire as to licensees' business models ... |
| | | | ... ban is up for consideration. These are typically third-party lead generators and their representatives that are not licensees providing financial advice or product issuers/seller whose actions could reasonably influence advice that is ultimately given ... |
| | | | ... and wide and reached an "industrial scale" that implicated research houses, trustees, lead generators, auditors and licensees. What has come to the fore is that all the players in the ecosystem exhibited negligence and laxity. One Equity Trustees junior ... |
| | | | ... benefit bracket, and retirement status. APRA and ASIC will jointly use the data as part of tracking progress by RSE licensees against retirement income strategies required by the Retirement Income Covenant. It will then share the data with ASIC, Treasury ... |
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