Search Results | Showing 351 - 360 of 1223 results for "Licensees" |
| | | The failure of Westpac's former advisers to pass on corporate actions to clients for more than a decade will see the big bank pay a hefty bill. The $87 million that will be remediated affects 32,000 customer accounts, ASIC announced this morning ... |
| | | | ... clients". This is despite the fact that Jennings has been working as an adviser since 2009, representing several AFS licensees. The misconduct occurred during the time she was an authorised representative of Meritum (February 2012 to February 2017) and ... |
| | | | ... Services was part of Total Financial Solutions, a subsidiary of Countplus, between 2012 and February 2020. It moved licensees, operating under Lifespan FInancial Planning until this month when Owen announced that Stonehouse will take over. Owen told ... |
| | | | ... transparency and trust." "In recent years, the concept of a technology stack has become a hot topic in financial planning, as licensees and advisory firms look to technology to help drive practice efficiencies and client satisfaction and manage the mounting ... |
| | | | ... Services and Total Financial Solutions Australia. ASIC investigated Smith's conduct during his employment with the two licensees, finding he failed to do a number of basic procedural requirements. He began practicing as an adviser in 2010, working for ... |
| | | | ... licensing solution for accountants to enable them to offer self-managed super funds and superannuation advice. The top 10 licensees also comprise: Morgans Financial (487), Synchronised Business Services (472), Charter Financial Planning (427), Interprac ... |
| | | | ... reduce inefficiencies such as errors and multiple iterations of the same documents and protect themselves and their licensees with automatic compliance," Liao said. |
| | | | ... starts at $650 per month with the flexibility of cancellation "Netflix-style", he said. Discounts are also provided for licensees that want to use the solution for the group. Looking to the future, Asendium will add on an audit report, enhanced questions ... |
| | | | ... out. AMP and the aforementioned subsidiaries contravened their overarching obligations as Australian financial services licensees to act efficiently, honestly and fairly, the regulator said. "ASIC further alleges that the AMP companies' conduct demonstrated ... |
| | | | ... financial advice component should be amended in terms of the product rating process. Rating houses should work with licensees and amend the product ratings process to ensure that the contribution of a feature to the rating is proportional to its value ... |
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