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Showing 11 - 20 of 28 results for "Records of Advice"

Could relief on advice compliance save consumers?

ELIZABETH MCARTHUR  |  THURSDAY, 2 APR 2020
... talking about is providing things that will streamline the delivery of advice. Being able to do more through records of advice rather than Statements of Advice, for example." Anderson said he's conscious that an SOA is something clients might not ...

Licensee faces hefty remediation bill

ELIZABETH MCARTHUR  |  WEDNESDAY, 18 SEP 2019
... complex data such as personal customer information, revenue and service indicators like face-to-face meetings, records of advice and annual reviews, to identify potential breaches at both a practice and individual level." ASIC first identified non-compliant ...

Former Dover, Securitor adviser banned

ELIZABETH MCARTHUR  |  THURSDAY, 18 APR 2019
... their existing products. ASIC said Chigwidden also failed, in some cases, to provide Statements of Advice and Records of Advice to clients when he was required to do so. When he did provide those documents however, he failed to include specific information ...

Deductible super contributions front of mind: BTFG

HARRISON WORLEY  |  FRIDAY, 20 JUL 2018
... 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 ...

ASIC looks into Melbourne planning firm

HARRISON WORLEY  |  THURSDAY, 7 JUN 2018
... 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 ASIC ...

Reinvigorated OneVue inches up platform rankings

JAMIE WILLIAMSON  |  MONDAY, 5 MAR 2018
... highlighted investment platforms are progressing well in two key areas: managed accounts and the generation of Records of Advice on-platform. Investment Trends senior analyst King Loong Choi said managed accounts are gaining traction largely among financial ...

HUB24 responds to adviser demand

JAMIE WILLIAMSON  |  TUESDAY, 23 JAN 2018
Financial advice licensees can now upload templates for Records of Advice to the HUB24 platform, allowing increased efficiency when trading and generating ROAs for clients. The integrated ROA solution is the latest in a raft of upgrades to HUB24's functionalities ...

Netwealth signals managed account growth, business upgrades

DARREN SNYDER  |  FRIDAY, 19 JAN 2018
... transactional data and provide a complete view of a client's wealth. In December the platform introduced SMART Records of Advice (ROAs), which allow financial advisers and other intermediaries to customise and automate ROAs for multiple clients in a ...

Former Challenger executive joins HUB24

KARREN VERGARA  |  WEDNESDAY, 20 DEC 2017
... enhancements to enable financial planners to deliver advice more efficiently, including automating the creation of Records of Advice (ROA) and improving record keeping functionalities. Advisers can also view client portfolios holistically, including ...

HUB24 upgrades platform

KARREN VERGARA  |  MONDAY, 20 NOV 2017
... for roll out next month, advisers will no longer have to use multiple systems and manual processes to create Records of Advice (ROA), as a new functionality will help improve record keeping and enable better communication with clients. Advisers will ...