Search Results | Showing 21 - 30 of 31 results for "Records of Advice" |
| | | ... transactional data and provide a complete view of a client's wealth. In December the platform introduced SMART Records of Advice (ROAs), which allow financial advisers and other intermediaries to customise and automate ROAs for multiple clients in a ... |
| | | | ... enhancements to enable financial planners to deliver advice more efficiently, including automating the creation of Records of Advice (ROA) and improving record keeping functionalities. Advisers can also view client portfolios holistically, including ... |
| | | | ... for roll out next month, advisers will no longer have to use multiple systems and manual processes to create Records of Advice (ROA), as a new functionality will help improve record keeping and enable better communication with clients. Advisers will ... |
| | | | ... implemented SMA model portfolios of exchange-traded funds. With about 360 clients, this eliminated the need for records of advice (RoAs) when a change in asset allocation was enacted. "If we assume that each RoA takes two man hours and each client enacted ... |
| | | | ... operate discretionary trading accounts even when this was not the case; in these instances he also created false records of advice. ASIC commissioner Peter Kell said: "Investors should feel confident that financial advisers are acting within the authority ... |
| | | | ... While Zaicew was suspended from CFPL, Locksley also prepared and backdated around 40 other documents, including records of advice, to give the impression they had been prepared at the time of the client transactions. Locksley has a right to appeal to ... |
| | | | ... ASIC noted that KPMG's review of a sample of client advice files shows there are some issues in the quality of records of advice and that further improvements are required in key areas such as recording the advice given, recording advice on alternative ... |
| | | | ... information in three documents to record client instructions that were not in fact given and backdated four records of advice contained on client files. Zaicew's conduct was identified as part of an enforceable undertaking (EU) accepted by ASIC in October ... |
| | | | ... system to help their advisers who must conduct client reviews every 12 months. "Time spent drafting reports or records of advice is minimised, through use of wizards, once-only entry of data, fully integrated analysis and modelling tools and fast reporting ... |
| | | | ... advisers can now conduct portfolio reviews, inclusive of clients tax reporting, manage client trades and maintain records of advice from the same platform that delivers our market data and client portfolios," said David Evans, founder of Evan & Partn ... |
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