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Showing 531 - 540 of 1224 results for "Licensees"

IOOF expands advice team

ELIZA BAVIN  |  WEDNESDAY, 2 OCT 2019
... value for advisers and their clients," Whereat said. Gregory-Aylett will be focused on delivering critical functions for licensees, including Advice Systems and Technology, Advice Innovation, Adviser Marketing and Events, Operations and Training and ...

Adviser cops three-year ban

KANIKA SOOD  |  WEDNESDAY, 25 SEP 2019
... according to ASIC's Financial Adviser Register. He started as a financial adviser in 2012 and worked for a number of licensees, including Spring Financial Group for three months and Beacon Financial Group for two months. He spent the longest stretch ...

FASEA ethics pose risk to managed accounts

ELIZABETH MCARTHUR  |  MONDAY, 23 SEP 2019
... the growth of managed accounts has been the development of portfolios which are developed by and for individual advice licensees," Potter said in the letter. "This is in addition to those portfolios managed by investment managers or research houses." ...

Industry Fund Services adopts regtech solution

KRISTI CHENG  |  FRIDAY, 13 SEP 2019
... introduce automated review of Statements of Advice to fulfil compliance requirements. IFS, however, will be one of the first licensees to use a machine learning AI platform to conduct reviews of the entire client file, not just the SOA, thereby further ...

Queensland-based AFSL suspended

ELIZABETH MCARTHUR  |  TUESDAY, 10 SEP 2019
... time for the firm to lodge financial reports and address ASIC's concerns. ASIC said in a statement: "ASIC expects AFS licensees to do all things necessary to meet their obligations under financial services law, comply with their licence conditions and ...

Priced out: Advice affordability at risk

ELIZABETH MCARTHUR  |  MONDAY, 9 SEP 2019
... evidenced by decisions from MLC Wealth and AMP to restructure their advice offerings, with MLC Wealth consolidating its licensees while leaving HNW-focused Godfrey Pembroke untouched and AMP forcing many of its firms with smaller FUMs to merge or sell. ...

Vote in the FS Power50 now

JAMIE WILLIAMSON  |  THURSDAY, 5 SEP 2019
... personal financial advice are qualified to proceed to the voting round. This means any nominations for chief executives of licensees or dealer groups, former financial advisers or those who have influenced the financial planning industry but now work ...

APRA updates enforcement approach

KRISTI CHENG  |  WEDNESDAY, 4 SEP 2019
... actions it has taken since. These include issuing formal directions and imposing license conditions on two superannuation licensees, and applying additional capital requirements on three major banks in response to risk governance shortcomings. APRA's ...

APRA slaps traffic light ratings on super funds

KARREN VERGARA  |  TUESDAY, 3 SEP 2019
... BPR requires an outcomes assessment across a range of metrics for different member cohorts. Furthermore, Rowell said licensees must consider whether they will continue to deliver quality outcomes for all members into the future and take action if they ...

REP 515 divides advice community

ELIZABETH MCARTHUR  |  WEDNESDAY, 28 AUG 2019
... impacted by Report 515 are aligned with the big institutions, while those who are blissfully unaware are with smaller licensees. "Red tape has become such a big issue in financial advice," Anderson said. In a detailed presentation about the current regulatory ...