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Showing 11 - 12 of 12 results for "Review of Advice"

Client needs to drive transitioning businesses

JAMIE WILLIAMSON  |  TUESDAY, 4 OCT 2016
... perspective. Limited MDA arrangements came about as advisers wanted to switch client investments without providing a Review of Advice," said Bignill. Under the revisions made to RG179, any advice provided in respect of an MDA must be personal advice ...

Planners lax on capital protected product advice: ASIC

JAMES FERNYHOUGH  |  WEDNESDAY, 4 DEC 2013
... capital protected products, the Australian Securities and Investments Commission (ASIC) has found. In Report 377, 'Review of advice on retail structured products', ASIC found that approximately 50% of the files it examined showed insufficient evidence ...
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