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| | | ... set to request non-core proofs of compliance arrangements, programs for monitoring supervision and training of representatives and a risk management statement. Life insurers and life insurance underwriters will need to provide the corporate regulator ... |
| | | | ... founder and executive chair John Ardino. Gershkov's responsibilities included inducting and training authorised representatives, together with providing technical and research support covering financial planning strategies, investment product solutions ... |
| | | | ... Financial Planning Association of Australia and the Association of Financial Advisers will appoint two senior representatives and two adviser members each to the eight-person taskforce, with the goal of taking a combined approach to the future of life ... |
| | | | ... ensure they continue to work in the best interests of members," it said. This morning, AMP sent a memo to its representatives, cited by Financial Standard, outlining frequently asked questions that may come from advised clients. "The impositions of conditions ... |
| | | | ... placement business, Prudential Capital Group. Based in New Jersey, Lochhead will lead the global team, including representatives in Sydney, Chicago, London, Munich, Singapore and Shanghai, where PGIM plans to expand to later this year. PGIM chief executive ... |
| | | | ... ASIC said it was concerned about the its ability to "do all things necessary to ensure the advice provided by its representatives was compliant". Renneberg was Austplan's sole director when its AFSL was cancelled last November and was an authorised representative ... |
| | | | ... has been notified of Spectrum's closure, and added it was in the process of issuing notices to its authorised representatives terminating their agreements and directing that no further business should be carried on under the agreements. According to ... |
| | | | ... last term of government." Frydenberg also said he will look into the concentration of union and employer group representatives on the boards of industry superannuation funds. In early January, the Productivity Commission released 26 recommendations following ... |
| | | | ... its wealth functions. Rainmaker analysis of ASIC's Financial Adviser Register shows YBR has 62 authorised representatives as of yesterday. Franchisees will still be able to distribute wealth products and provide wealth advice to their existing and ... |
| | | | ... "Licensees must have an adequate and appropriate compliance framework to govern the monitoring and supervision of their representatives. We expect all licensees to comply with this and will monitor their compliance closely." Cornford has the right to ... |
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