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Showing 11 - 17 of 17 results for %22Third File Review%22

More CBA-aligned advisers under scrutiny

DARREN SNYDER  |  THURSDAY, 17 DEC 2015
... they will be compensated in a process overseen by KordaMentha Forensic," an ASIC statement said. KordaMentha Forensic's third report, the Compliance Report, is expected in 2016 and is auditing whether CFPL and FWL have complied with their additional ...

CBA's advice review compensates 19 clients

LAURA MILLAN  |  WEDNESDAY, 30 SEP 2015
... inquiry uncovered numerous cases of bad advice and a widespread boiler room culture within the bank's advice divisions. The third report by independent expert Promontory Financial Group revealed that the bank had 8,835 cases registered to the program ...

NAB upgrades advice compensation program

LAURA MILLAN  |  THURSDAY, 21 MAY 2015
... financial advice complaints process," NAB chief executive Andrew Thorburn said. The role and its scope have been verified by third party and specialist in governance Cameron Ralph. "The review led by Cameron Ralph was to ensure no conflicts of interest ...

One third of risk advisers non-compliant, ASIC says

JAMES FERNYHOUGH  |  THURSDAY, 9 OCT 2014
... the product manufacturing sector as noted in the recommendations of the report. "The FPA is focused on advice and we will review the ASIC report and suggested recommendation to review training and the proposed checklist. We are happy to work with other ...

Budget reply speech 2014 -15: Bill Shorten

One third of SMSF advice is poor: ASIC

ALEX DUNNIN  |  THURSDAY, 18 APR 2013
An ASIC report examining the quality of financial advice received by self managed super fund (SMSF) trustees and potential trustees has found that while most advice quality is adequate, there is a trend towards recommending SMSFs as the default solution. ...

Canada plan in talks to buy Livingston

COMPANY RELEASE  |  MONDAY, 12 OCT 2009
... consortium would provide a payment of Cdn$8.00 cash per unit to Livingston unitholders. The agreement follows Livingston's review of strategic alternatives and a confidential auction process, and has the unanimous support of Livingston's Board of Trustees. ...
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