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Showing 491 - 500 of 1224 results for "Licensees"

Dealer group boosts compliance team

JAMIE WILLIAMSON | TUESDAY, 17 DEC 2019

... Eugene Ardino said the creation of the two compliance roles was necessary as Lifespan grew and compliance demands on licensees became more complex. "The compliance regime for planners has become much more demanding in the wake of the Hayne Royal Commission. ...

Half of all AFSL applications approved

ELIZABETH MCARTHUR | MONDAY, 16 DEC 2019

... applications were approved and 31 were withdrawn. "For the first year since inception, the total number of approved AFS licensees has fallen (from 6170 in June 2018 to 6159 in June 2019)," ASIC said. "Given the generally consistent number of new AFS ...

Dealer group launches transition support service

HARRISON WORLEY | FRIDAY, 13 DEC 2019

... particularly in relation to new AFSLs entering the market," Tunkin said. "Lifespan Partnership is designed to allow self-licensees to seamlessly navigate and embrace those elements of change." Lifespan is home to more than 180 financial advisers.

APRA slaps extra conditions on Avanteos

HARRISON WORLEY | WEDNESDAY, 11 DEC 2019

... have engaged in misconduct that breached the Corporations and SIS Acts. APRA said it had identified "several other" RSE licensees that may have charged fees to the accounts of deceased members, and added it's inquires in those matters were ongoing ...

AMP to cut contribution fees

JAMIE WILLIAMSON | WEDNESDAY, 11 DEC 2019

AMP has informed licensees and financial advisers it will phase out contribution fees in Q1 2020. In a letter from AMP managing director of superannuation, retirement and platforms Lara Bourguignon, AMP has said it will cease charging and paying contribution ...

ASIC suspends Melbourne-based AFSL

ELIZA BAVIN | WEDNESDAY, 11 DEC 2019

... obligations, the regulator will consider cancelling or further suspending the licence," ASIC said. "ASIC expects AFS licensees to do all things necessary to meet their obligations under financial services laws, comply with their licence conditions, and ...

Elders FP to shutter

JAMIE WILLIAMSON | TUESDAY, 10 DEC 2019

... Financial Adviser Register, Elders is currently home to 59 advisers. The advisers are expected to transition to other licensees, with most likely to move to Millennium3 - the majority owner of Elders. "Clients will receive letters from their advisers ...

IOOF, ANZ transaction gets green light

ELIZA BAVIN | TUESDAY, 10 DEC 2019

... "APRA has concluded it has no reason to believe that, because of IOOF's controlling stake in OnePath or Oasis, the RSE licensees may be unable to satisfy one or more of the trustee's obligations contained in a covenant set out in the [Superannuation ...

CFS culls grandfathered commissions, slashes fees

KANIKA SOOD | FRIDAY, 6 DEC 2019

... and other product issuers winding down the commissions earlier than the 2021 deadline. "Our terms of trade with the licensees state that we have the right to change the fees at any point," Power said in response to AIOFP's comments.

Why joint effort is required in advice

ELIZABETH MCARTHUR | THURSDAY, 5 DEC 2019

... stance providing a further boost. "The statement from AFCA provides further consistency which gives greater comfort to licensees and advisers," Kewin said. "It is a welcome sign that there is a cohesive and common sense approach being taken by many stakeholders ...

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Federal Court calls out ASIC for re-running case on appeal

RIDDHIMA TALWANI | 12:39PM

The Full Federal Court of Australia has criticised regulators for falling back on appeals to re-litigate cases on a different legal basis than the one run at trial.

Evergreen founder exits Ascalon Capital

KARREN VERGARA | 12:33PM

Ascalon Capital has bid farewell to Evergreen Consultants' founder Angela Ashton, shortly after acquiring the consulting firm last year.

Powerhouse Ventures partners with European fund manager

KARREN VERGARA | 12:10PM

ASX-listed Powerhouse Ventures has partnered with an unnamed European fund manager that will commit US$50 million to its fledgling Critical Infrastructure Opportunities (CIO) Fund.

KeyInvest unveils new investment platform, awards mandate

MATTHEW WAI | 12:28PM

KeyInvest has launched a new investment platform to include a plethora of investment strategies ranging from private credit to global equities.

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