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Showing 21 - 30 of 57 results for "Australian Financial Services Licensees"

Advice fintech reshuffles leadership

JAMIE WILLIAMSON  |  THURSDAY, 31 MAY 2018
... said the review "reaffirmed that Intiger will renew its focus on meeting the needs of Australian financial services licensees to provide large-scale, compliant quality advice."

Advice fintech shutters Sydney office

ALEX BURKE  |  TUESDAY, 15 MAY 2018
... because the review "reaffirmed that Intiger will renew its focus on meeting the needs of Australian financial services licensees to provide large-scale, compliant quality advice." This "renewed focus" will also see Intiger introduce new complementary ...

Small licensees are PI insurance compliant: ASIC

KARREN VERGARA  |  WEDNESDAY, 30 AUG 2017
The majority of small Australian financial services licensees are meeting professional indemnity (PI) insurance obligations, according to an ASIC investigation. ASIC's review included 56 small AFS licensees with 20 or less authorised representatives ...

ASIC flags stronger adviser surveillance

KARREN VERGARA  |  WEDNESDAY, 23 AUG 2017
... interest obligations and providing appropriate advice to clients. It will also target Australian financial services licensees' failure to deliver ongoing advice services to clients who are paying fees to receive such services. ASIC said it will pay particular ...

Advice licensees hit with $1500 levy

EMMA RAPAPORT  |  MONDAY, 17 JUL 2017
... Insurance sector : The definition of insurance product issuers has been expanded to include Australian financial services licensees who make offers to arrange for the issue of insurance products under an intermediary authorisation with an APRA-regulated ...

Infocus celebrates success

KERRIE SYDEE  |  WEDNESDAY, 9 NOV 2016
... leading businesses providing exceptional financial advice across the Infocus and Patron Australian Financial Services Licensees. Announced at the group's annual conference in Singapore, a total of 18 awards were awarded across the Infocus and Patron ...

ASIC bans deceptive adviser

KERRIE SYDEE  |  TUESDAY, 8 NOV 2016
... notes in Protect Ensure. Karakatsanis has been an authorised representative of a number of Australian Financial Services Licensees since 2003, however between 16 July 20212 and 22 May 2014 he was an authorised representative of Protect Ensure. An ASIC ...

ASIC confirms systemic failures in advice

KERRIE SYDEE  |  THURSDAY, 27 OCT 2016
... Australian Securities and Investment Commission has confirmed systemic failures at 21 Australian Financial Services Licensees in providing ongoing advice services to clients. Identified in ASIC's 'Financial advice: Fees for no service' report, the systemic ...

Synchron lands payroll tax win

KERRIE SYDEE  |  TUESDAY, 14 JUN 2016
... fees and commissions on behalf of authorised representatives, coupled with the fact that Australian financial services licensees are also legally required to provide other functions such as compliance, education and training, meant that authorised representatives ...

ASIC cracks down on "independent" AFSLs

ALEX BURKE  |  THURSDAY, 3 MAR 2016
ASIC has requested that three Australian financial services licensees "remove or amend" claims about their independence. Wilson HTM, iSelect Life and Citywide Insurance Brokers and Financial Planners have complied with ASIC's request after the regulator ...