Search Results | Showing 331 - 340 of 1904 results for "licensee" |
| | | Financial advisers have 14.5 years of professional advice experience on a median basis, but very few have more than 20, a Rainmaker analysis shows. Rainmaker's June 2023 Financial adviser report based on ASIC's Financial Adviser Register found that ... |
| | | | A joint regulatory review finds that superannuation funds are shrugging off the urgency to offer robust retirement income strategies and are failing to integrate this mandate into their business plans. One year since the Retirement Income Covenant took ... |
| | | | Colonial First State will pay $100 million to settle a class action over fees that were illegally charged to members to pay commissions to financial advisers. The action related to members of CFS FirstChoice and conduct carried out between July 2013 ... |
| | | | ... Count continues to grow its adviser network, having recently added 75 practices through the acquisition of TAL's Affinia licensee in May. At the time, Humphrey said the acquisition signalled a new dynamic phase for the company, "giving clients greater ... |
| | | | The estimated ASIC levy for this financial year will see financial advisers slugged $3217, as the levy freeze comes to an end. Under the estimated levies released yesterday, the levy to be paid per adviser has almost tripled from the $1142 that it was ... |
| | | | ... engaging in misleading or deceptive conduct and breaching the Code of Ethics. The FSCP ultimately ordered Mr. S's licensee to perform three successive compliance audits in relation to personal advice provided to retail clients, with a minimum of ... |
| | | | ... positive return on the investment made by our buyers." Advisers can sell their AFSL once clients have transferred to another licensee. Birt sees a high demand for AFSLs, which, when dormant, can either be handed back to ASIC or sold to another party. ... |
| | | | ... providers. "The registration requirement is new. It is separate, and in addition to, the pre-existing requirements for an AFS licensee to appoint a relevant provider to the Financial Advisers Register after they have been authorised. Provisional Relevant ... |
| | | | ... 2022. His involvement with Synchron stretches back to 2007, when he began consulting on strategy and marketing for the licensee. In a tribute, Synchron founder Don Trapnell said: "With his help, we transformed Synchron into one of the largest non-institutionally ... |
| | | | The Federal Court found AMP guilty of charging deceased customers life insurance premiums and advice fees, ordering it to pay $24 million in penalties. Justice Hespe today determined that four AMP subsidiaries - AMP Life, AMP Financial Planning, AMP ... |
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