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Showing 361 - 370 of 1222 results for "Licensees"

The other side of the ETP growth story

ELIZABETH MCARTHUR  |  WEDNESDAY, 5 MAY 2021
... be of concern, Dyall said, as unit trusts suffer and ETPs become more popular. He cautioned the audience that large licensees have been known to apply pressure to keep clients in high-fee legacy products. He said it would be unlikely for ETPs to continue ...

Adviser faced with further dishonesty charges

ANNABELLE DICKSON  |  MONDAY, 3 MAY 2021
... alleged offences under his business AR Wealth and Finance. Prior, Goel was licensed by two of Australia's largest licensees, Synchron (2016-2018) and AMP (2013-2016). ASIC was first alerted to the misconduct after AustralianSuper submitted a report ...

How managers win ESG mandates

ELIZABETH MCARTHUR  |  TUESDAY, 27 APR 2021
... Brennan added that the firm's research indicates ESG will only grow as a component of the investing landscape. "Licensees, platforms and product issuers who ignore it do so at their peril," she said. "Our new research shows that not only are investors ...

Clime appoints new chief executive

KANIKA SOOD  |  MONDAY, 26 APR 2021
Madison Financial Group's Annick Donat has been appointed the chief executive of Clime Investment Management. She will commence in the role on 1 May 2021. Donat was most recently the chief executive of Madison for over three years, before it was ...

Advisers to go forth with claims handling

ANNABELLE DICKSON  |  MONDAY, 26 APR 2021
... Response) Act 2020 and expand and clarifies the types of situations that must be reported to ASIC. ASIC will require licensees to lodge breach reports in a prescribed form within 30 calendar days after the licensee is aware of a reportable situation. ...

IOOF licensees to take remedial action

JAMIE WILLIAMSON  |  MONDAY, 26 APR 2021
... indications of potential client detriment. In response, IOOF has agreed to develop and implement action plans for both licensees to address the findings and review and remediate clients where necessary. ASIC will review the implementation and progress ...

Iress partners with regtech for DDO

ANNABELLE DICKSON  |  FRIDAY, 23 APR 2021
... three key features : TMD storage, a messaging solution to facilitate distributor and issuer contact and information for licensees and advisers by providing TMDs to them and their clients. "This legislation represents a challenge no traditional system ...

Adviser numbers at five-year low

KARREN VERGARA  |  FRIDAY, 23 APR 2021
... market share in the risk advice segment. Lifespan Financial, GWM Adviser and Capstone Financial are the fastest-growing licensees, each adding 29, 31 and 56 advisers respectively over the period. Bank-owned AFSLs continue to experience the largest fall ...

ASIC opens breach reporting consultation

ANNABELLE DICKSON  |  THURSDAY, 22 APR 2021
... situations that must be reported to ASIC. The reforms, which are expected to commence on 1 October 2021, will impact AFS licensees and are to also be extended to credit licensees. ASIC will require licensees to lodge breach reports in a prescribed form ...

Government opens consultation on key advice reforms

JAMIE WILLIAMSON  |  MONDAY, 19 APR 2021
... annual registration system for advisers, though does not confirm the fee that will apply to the annual process. All licensees will be able to register existing advisers from 1 January 2022 and have until 1 January 2023 to ensure all advisers are registered. ...