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Showing 21 - 30 of 1904 results for "licensee"

ASIC reviews AFSLs over finfluencer concerns

ELIZA BAVIN  |  FRIDAY, 24 APR 2026
... licensees, however responsibility for supervising finfluencer conduct and the liability for any breaches remains with the licensee. As part of this, ASIC said it has contacted and met with three licensees to review their supervision of 15 finfluencers ...

APAC investments chief for Morningstar IM resigns

KARREN VERGARA  |  WEDNESDAY, 22 APR 2026
Morningstar Investment Management's chief investment officer for Asia Pacific will shortly leave the post to pursue other opportunities. Matt Wacher was appointed to the role in 2019 and will finish up in late May. Wacher is also the chair of Morningstar's ...

arcpoint OCIO wins three mandates

KARREN VERGARA  |  WEDNESDAY, 22 APR 2026
... services high-net-worth (HNW) and ultra HNW individuals, families and businesses, arcpoint will provide portfolio design. At licensee support firm Capella Advisory, arcpoint will provide a managed accounts solution and adviser toolkit. For financial ...

Treasury's proposal adds flexibility for new advisers: FAAA

MATTHEW WAI  |  WEDNESDAY, 22 APR 2026
The Financial Advice Association Australia (FAAA) supports Treasury's proposed education reforms for financial advisers, noting they will provide significant flexibility for new entrants without reducing the rigour of the current settings. With ...

Advisers reprimanded over fee-for-no-service conduct

MATTHEW WAI  |  WEDNESDAY, 22 APR 2026
... place to prevent and detect the error. The client continued to be charged until they made a complaint to the adviser's licensee. As a result, the panel said the relevant provider contravened s921E(3) of the Corporations Act 2001, and the Code of Ethics ...

ASIC to refresh financial market infrastructure guides

KARREN VERGARA  |  TUESDAY, 21 APR 2026
... licensees to notify ASIC when a person acquires, or ceases to hold, more than a specified level of voting power in a licensee or its holding company. The notification threshold increases from 15% to 20% to reflect the higher threshold introduced by the ...

HUB24 sees $4bn net inflows, advances HTFS takeover

ELIZA BAVIN  |  TUESDAY, 21 APR 2026
... institutional flows impacted by a one-off outflow from an institutional client in March," HUB24 said. During the quarter, 37 new licensee agreements were signed and the total number of advisers using the platform increased by 272 to 5549, up 11% on pcp. ...

ASIC issues roadmap for digital assets law reform

ELIZA BAVIN  |  TUESDAY, 21 APR 2026
ASIC said it will be issuing new regulatory guidance and set out certain operations standards as it prepares to implement new laws which will bring digital asset platforms (DAPs) and tokenised custody platforms (TCPs) under the financial services licensing ...

FSC ups expectations on platform trustees' governance

JAMIE WILLIAMSON  |  THURSDAY, 16 APR 2026
... typically delivered and paid for, and whether any referral partnerships are in place. It should also look into whether the licensee maintains adequate procedures and controls around adviser onboarding, training and competence, scope of advice, conflict ...

ASIC concerns over Interprac sale 'unfounded': Sequoia

JAMIE WILLIAMSON  |  FRIDAY, 10 APR 2026
... what the transaction would mean for Interprac's creditors, noting two lead determinations have been made against the licensee by the Australian Financial Complaints Authority (AFCA) regarding its involvement in the Shield and First Guardian collapses. ...