Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 401 - 410 of 1224 results for "Licensees"

Iress scores dealer group mandate

JAMIE WILLIAMSON  |  TUESDAY, 8 DEC 2020
... said the business is delighted to be working with FYG. "Lumen's powerful data analytics capabilities make it easy for licensees to meet ever-evolving obligations, resulting in a more responsible and robust financial advice system," he said.

SelfWealth launches US trading

ELIZABETH MCARTHUR  |  MONDAY, 7 DEC 2020
... PhillipCapital. In Australia, Phillip Capital Limited specialises in wholesale stockbroking services to financial services licensees.

ASIC consults on consumer remediation

ELIZABETH MCARTHUR  |  THURSDAY, 3 DEC 2020
... released a consultation paper to update the regulatory guide on client review and remediation conducted by financial advice licensees. Regulatory Guide 256: Client review and remediation conducted by advice licensees will be clarified through Consultation ...

New MDA offering launched

ELIZA BAVIN  |  WEDNESDAY, 2 DEC 2020
... market changes and in a RG179 compliant manner. Lifestyle said the pilot is one of the only Australian financial services licensees to offer this service to their authorised representatives. Lifestyle managing director Scott Heathwood said Lifestyle ...

ASIC cancels two AFSLs

ELIZA BAVIN  |  MONDAY, 30 NOV 2020
... Complaints Authority (AFCA), and had failed to lodge its annual financial and audit reports since 2017. "ASIC expects AFS licensees to do all things necessary to meet their obligations under financial services laws, comply with their licence conditions ...

Count Financial targets growth with new hire

ANNABELLE DICKSON  |  WEDNESDAY, 25 NOV 2020
... manager for Queensland and the Northern Territory growing the number of advisers and practices within NAB's self-employed licensees. Prior to joining NAB, Carlton was head of financial planning for Victoria and Tasmania at AMP and was responsible for ...

Dealer group chief executive departs

ELIZABETH MCARTHUR  |  TUESDAY, 24 NOV 2020
... executive, with IOOF moving towards shuttering the licensee and transitioning advisers to their choice of remaining IOOF licensees. Kellett enjoyed a long career at IOOF, having previously held the roles of head of sales and general manager, adviser ...

Sequoia reveals strategic plans

ANNABELLE DICKSON  |  FRIDAY, 20 NOV 2020
ASX-listed Sequoia Financial Group has revealed its plans to increase its adviser numbers and licensees to adjust to the shifting landscape of the financial advice industry. At its annual general meeting, Sequoia announced its strategic objective to ...

Financial adviser reference checks under scrutiny

ELIZABETH MCARTHUR  |  THURSDAY, 19 NOV 2020
... reference checks was one of the recommendations to come out of the Royal Commission. During the inquiry it was found licensees were not doing enough to communicate with each other on the background of advisers they were employing. The Financial Sector ...

ASIC opens consultation on scaled advice

ANNABELLE DICKSON  |  TUESDAY, 17 NOV 2020
... advice and whether their licensee supports the provision of scaled advice. The regulator would also like to hear from licensees to understand the extent to which demand for advice has increased or decreased and the most common topics advisers are advising ...