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Showing 3561 - 3570 of 9818 results for "Advisers"

ASIC finalises EU with HSBC

KARREN VERGARA  |  FRIDAY, 22 FEB 2019
... provided "potentially deficient advice" on retail structured products between January 2009 and March 2013, and that HSBC advisers sought little to no information about clients' relevant personal circumstances. At the time, 464 clients were under ...

Advisers need to behave above the law

HARRISON WORLEY  |  FRIDAY, 22 FEB 2019
FASEA's recently confirmed Code of Ethics will require advisers to act well above the basic behavioural standards expected of them. Addressing delegates on day two of the Self-Managed Super Fund Association National Conference in Melbourne this week ...

Advice group appoints general manager

KANIKA SOOD  |  THURSDAY, 21 FEB 2019
... and increase efficiencies across advice documentation and policy, established business technology support services for advisers, and led advice operations transformation programs," Paragem said. Paragem managing director Nathan Jacobsen said the newly-created ...

Futuro ends AMP alignment

JAMIE WILLIAMSON  |  THURSDAY, 21 FEB 2019
... aside as managing director and Paul Kelly taking over the leadership in 2016. As at June 2018, Futuro has 65 financial advisers on its books.

ASIC flags post-RC criminal prosecutions

JAMIE WILLIAMSON  |  WEDNESDAY, 20 FEB 2019
... required. This is in addition to the actions already commenced against NAB's Nulis and MLC, as well as Dover Financial Advisers and Terry McMaster. Aside from the Royal Commission case studies, ASIC is also looking into a number of instances of misconduct ...

Opportunities outweigh threats when it comes to SMSFs

HARRISON WORLEY  |  WEDNESDAY, 20 FEB 2019
... educational requirements from FASEA to step up and do better in the best interests of clients and members. "I think those advisers active in the SMSF sector - particularly those attending this conference - are probably at the upper end of having already ...

Accountant banned for bad SMSF advice

HARRISON WORLEY  |  TUESDAY, 19 FEB 2019
... services of a related party so as to earn extra revenue for herself. ASIC Commissioner Danielle Press said financial advisers had a legal obligation to provide advice in the best interests of their clients, and not themselves. She added SMSFs posed major ...

IOOF braces for new super package, grandfathered commissions changes

KARREN VERGARA  |  TUESDAY, 19 FEB 2019
... Perennial Investment Partners ($28m). The first half was also strengthened by the transition of 661 former ANZ-aligned advisers. As for the acquisition of ANZ's pensions and investments (P&I) business, Mota said both parties have agreed to accelerate ...

Major shareholders defy proxy advisers: Research

JAMIE WILLIAMSON  |  TUESDAY, 19 FEB 2019
Superannuation funds and investment managers are increasingly voting contrary to the recommendations of proxy advisers, according to new research. The annual Link AGM Snapshot report showed a drop in the influence of proxy advisers, with super funds ...

Netwealth to benefit from RC fallout

HARRISON WORLEY  |  MONDAY, 18 FEB 2019
... of the impact the Commission's recommendations might have on their business. However, with the platform expecting advisers to continue to leave larger institutions, Netwealth said a significant number of advisers and intermediaries had selected it ...