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Showing 441 - 450 of 1904 results for "licensee"

Midwinter awarded Count Financial mandate

CHLOE WALKER  |  TUESDAY, 7 JUN 2022
... selected Midwinter due to its strong client engagement tools and market-leading modelling capabilities. As a growing licensee, Count said it is committed to supporting innovation that will make providing high quality, compliant advice easy for its network. ...

Rate rise exposes adviser knowledge gap

CHLOE WALKER  |  WEDNESDAY, 25 MAY 2022
... simply by doing your own research by leveraging off the research of a trusted source such as a research house or your licensee's research infrastructure who hopefully do have some experience with this," he says. "It is important though to do some research ...

intelliflo announces first head of sales in Australia

ANDREW MCKEAN  |  TUESDAY, 24 MAY 2022
... architecture solutions." Centrepoint Alliance's financial adviser network was among the first to access intelliflo, with the licensee forming an agreement with the tech player early last year. The offering was rolled out in partnership with Enzum ...

ASIC bans financial adviser for five years

ANDREW MCKEAN  |  FRIDAY, 20 MAY 2022
... Australian financial services (AFS) licence. For part of that period, Guan was an authorised representative of an AFS licensee but his authorisation didn't permit him to trade shares on, or operate, managed discretionary accounts, ASIC said. The ASIC ...

Record number of adviser graduates: Kaplan

ANDREW MCKEAN  |  THURSDAY, 19 MAY 2022
... developing client trust and professional recognition." Count Financial chief advice officer Andrew Kennedy added that his licensee was committed to the ongoing professionalism of its adviser network and the finance industry more broadly. "As a licensee ...

ASIC outlines cybersecurity expectations

JAMIE WILLIAMSON  |  FRIDAY, 13 MAY 2022
Following on from RI Advice's Federal Court loss, the corporate regulator has laid out its expectations of licensees when it comes to cybersecurity. Just last week, in what was an Australian-first, the Federal Court found RI Advice failed its obligations ...

Federal Court rules against RI Advice in cybersecurity case

JAMIE WILLIAMSON  |  THURSDAY, 5 MAY 2022
The Federal Court has found RI Advice breached its obligations as a licensee by failing to have adequate systems in place to manage cybersecurity risks, leading to several incidents that put client information at risk. In what ASIC says is an Australian ...

abrdn hires from State Street

CHLOE WALKER  |  MONDAY, 2 MAY 2022
Raf Choudhury has been appointed to abrdn's newly created position of investment director to strengthen its multi-asset team. Choudhury joins abrdn from State Street Global Advisors where he held a range of portfolio manager roles over a 17-year ...

BWC Partners joins Count Financial

JAMIE WILLIAMSON  |  THURSDAY, 28 APR 2022
... ways to improve their processes. This aligns very closely with our focus on digital tools and being a technology-focused licensee," he said. "We are delighted to have them on board as part of the Count Financial community and we look forward to working ...

Six cases brought against Westpac now finalised

JAMIE WILLIAMSON  |  FRIDAY, 22 APR 2022
The six Federal Court cases brought against Westpac by ASIC late last year have been finalised, with the banking giant to pay a total of $113 million in penalties. A decision in the final of the six matters, all overseen by Justice Beach, was handed ...