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Showing 21 - 30 of 37 results for "Financial Services Guide"

Royal Commission challenges super regulators

KARREN VERGARA  |  TUESDAY, 28 AUG 2018
... choice product and out of a MySuper product. The advisers failed to provide a Statement of Advice and Financial Services Guide, and obtain clients' informed consent to move their funds. Aon Hewitt has 185 advisers, and 149 of these are authorised ...

AAT reduces former adviser's ban

HARRISON WORLEY  |  MONDAY, 23 JUL 2018
A former financial planner who lied about his planning qualifications will be able to provide financial services again in 2022, after his original ban was reduced. Permanently banned from providing financial services by ASIC in 2016, former Hobart financial ...

Poor SoAs hindering advice process

JAMIE WILLIAMSON  |  MONDAY, 21 MAY 2018
... interest. "Much of the disclosure can and should be referenced within other advice documents, such as the financial services guide and product disclosure statements," she said. "Due to the length, some advisers therefore create yet another document to ...

MGP responds to Henderson's RC hearing

JAMIE WILLIAMSON  |  FRIDAY, 27 APR 2018
... clients?" Henderson said that he "would have thought" the information was available in the Maxwell Henderson financial services guide, however when Orr asked him to locate the disclosure in the document, he could not. "You'll have to excuse me. It has ...

ASIC calls on NAB to improve disclosure

JAMIE WILLIAMSON  |  FRIDAY, 7 JUL 2017
An investigation by ASIC has forced NAB Group advice licensees to make corrective disclosures to customers. The corporate regulator found that NAB's dealer groups failed to disclose relationships between advisers, licensees, and other members of the ...

ASIC permanently bans dishonest adviser

KERRIE SYDEE  |  MONDAY, 10 OCT 2016
ASIC has permanently banned a Tasmanian financial adviser from providing financial services. Director and former financial adviser at Directions Wealth Management, Andrew Williams, has been permanently banned by ASIC for dishonestly providing financial ...

Adviser linked to Spring FG banned for document forgery

LAURA MILLAN  |  THURSDAY, 3 SEP 2015
A financial adviser has been permanently banned from the industry for falsifying Westpac finance letters to get more commissions. He was an employee of Murphy Dawson Partners, which was an authorised representative of Spring Financial Group between ...

AdviserLogic launches licensee-to-adviser tech tool

STAFF WRITER  |  WEDNESDAY, 21 JAN 2015
Software provider AdviserLogic has launched a tool to connect licensees and advisers more efficiently. The new services include a Licensee Console that allows advisers to create content, update it and automatically make it available to their planners' ...

Rename general advice, disclose ownership: FSI

LAURA MILLAN  |  SUNDAY, 7 DEC 2014
... recommended that advice firms disclose their ownership. It said that "these disclosures should be broader than Financial Services Guide and Credit Guide rules currently require, and could include branded documents or materials." "The Inquiry believes ...

Western Financial wins Water Corp Super mandate

RUTH LIEW  |  WEDNESDAY, 17 FEB 2010
... advice relating to non-super issues. However, this will be a separate service to members using a special financial services guide and fee structure. The fees will need to be paid separately by members.