Search Results | Showing 501 - 510 of 1224 results for "Licensees" |
| | | ... running the money," he said. APRA statistics show that in the 12 months to September 2019 the number of APRA-regulated RSE licensees fell from 126 to 114. "Some of the funds have actually done very well over time. So, if you have the right people it ... |
| | | | ... The regulator also found that the South Australian adviser "backdated advice documents to give the impression to her licensees that she had complied with her obligations under the law." Meantime, former Infocus adviser Williams has been banned from the ... |
| | | | ... some businesses are seeing opportunity. One such organisation is MyNextAdvice, which has launched a solution to help licensees monitor adviser compliance. "ASIC has mandated that AFS Licensees are responsible for monitoring adviser compliance with the ... |
| | | | ... empowers not just independent advisers but those at a licensee. "They now have a powerful voice, to take it to their licensees and say, 'That doesn't meet the standards of the FASEA code of ethics. That's not going to get us an outcome of ... |
| | | | ... operates and; FASEA's guidance on the operation of the code. It will also account for ASIC's expectations about steps licensees should take to ensure their advisers comply, specifically the guidance that they take a facilitated compliance approach with ... |
| | | | ... definitive deadline. "This is your transition period, so get prepared," Press said. She also said ASIC does not expect licensees to rejig their remuneration structures by 1 January 2020 to align with the Code of Ethics while uncertainty still surrounds ... |
| | | | ... requirements," De Gori added. The SOA working group consists of FPA members, regulators, compliance experts, lawyers, licensees, content and digital media specialists, and advice technology specialists. |
| | | | AFS licensees are consistently failing to provide correct information about advice fees to clients and are potentially still charging fees long after ongoing fee arrangements have been terminated, ASIC has found. The report, Compliance with fee disclosure ... |
| | | | ... prudential guidance, as necessary, if and when the SIS Regulations are released," the regulator said. "In the meantime RSE licensees should make reasonable endeavours to undertake the assessment required under section 52(9)(a) for all of their products." ... |
| | | | ... breaches of the code. "Financial advisers will still be required to comply with the code from 1 January 2020 and AFS licensees will still be required to take reasonable steps to ensure that their financial advisers comply with the code," ASIC said. This ... |
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