Search Results | Showing 21 - 30 of 1221 results for "Licensees" |
| | | ... early warning system, which would cover superannuation fund trustees, responsible entities (REs) and financial advice licensees to help identify issues in areas such as distribution, growth and management. REs should also "reflect the complexity and ... |
| | | | ... was up 7% in the period to 5294 subscribers. GDG noted Lonsec will also launch a new governance offering to support licensees, platforms, and wealth business in managing approved product lists (APLs) and investment menus in response to heightened governance ... |
| | | | ... for advisers to switch platforms. These includes regulatory changes, a shift in advisers from aligned to independent licensees, diversified wealth groups separating from their advice businesses and a general reduction in the number of advisers. "These ... |
| | | | ... confidently and responsibly. Sixty-two files showed the adviser failed to comply with the best interests duty, while some licensees had inadequate pre-vetting procedures to manage conflicts of interest. "We don't like seeing any cases of inappropriate ... |
| | | | ... based on FY26 earnings (excluding FG expenses). "We expect momentum to continue in FY27, with existing advisers and licensees expected to benefit from strong demographic tailwinds, AI and process automation, in addition to opportunities commencing in ... |
| | | | Two years on from a review into cold calling and lead generators, ASIC is launching another into the advice licensees that use them. ASIC said the aim of the review is to address practices that inappropriately or unnecessarily encourage consumers to ... |
| | | | ... controls put clients and companies at real risk," ASIC deputy chair Sarah Court said. "ASIC expects financial services licensees to be on the front foot every day to protect their clients. FIIG wasn't - and they put thousands of clients at risk. "In ... |
| | | | ... million of capital to maintain robust financial resources and ensure independence of its clearing and settlement facility licensees. ASIC had initiated an inquiry into ASX in June 2025 around its questionable ability to "maintain stable, secure and resilient" ... |
| | | | ... 20% stake in First Mutual, as it continues to conduct due diligence on similar opportunities among several boutique licensees and other business investments to expand its portfolio, it said. |
| | | | ... Finura's Australian Wealth Tech Predictions report for the year ahead states that as competition heats up among licensees, many will look to forge strategic partnerships with a "technology backbone". This will be in the form of managed account providers ... |
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