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Showing 571 - 580 of 1224 results for "Licensees"

CBA, ASIC move to resolve AFSL conditions

KANIKA SOOD  |  WEDNESDAY, 10 APR 2019
... of directors of Commonwealth Financial Planning Ltd and Financial Wisdom Ltd must confirm in writing to ASIC that the licensees have complied with the additional conditions." KordaMentha also found both licensees had taken reasonable steps to identify ...

ASIC outlines enforcement efforts

ELIZABETH MCARTHUR  |  WEDNESDAY, 10 APR 2019
... million to be paid out of fund assets without member approval." In its update, ASIC said in 2019 misconduct involving AFS licensees would be looked at closely. It said: "We are also focusing on responsible lending breaches, as well as the sale of inappropriate ...

ASIC approves AMP for MDAs

HARRISON WORLEY  |  TUESDAY, 9 APR 2019
... Planning as a result of approving AMPFP's application to vary its license to provide MDAs. Since September 2016, licensees have been transitioning away from ASIC's previous no-action position on MDA services, to modified licenses allowing them ...

Financial advice in 2030: What does it look like?

JAMIE WILLIAMSON  |  TUESDAY, 9 APR 2019
... reduced valuations of ongoing revenue, WealthDigital predicts. Meanwhile, the number of small to mid-sized privately-owned licensees will have grown, and many may be aligned to managed account providers, the white paper reads. The service provider also ...

APRA receives new super powers

KARREN VERGARA  |  FRIDAY, 5 APR 2019
... derivatives held directly or through associated entities, as well as initial investments into non-associated entities. RSE licensees will be obliged to make publicly available the details of portfolio holdings twice annually after each reporting day ...

IOOF appoints head of advice governance

HARRISON WORLEY  |  FRIDAY, 5 APR 2019
... Eyk where he was head of finance and operations, and ANZ as head of operations and projects for the bank's aligned licensees. Earlier he spent three years at ING as chief financial officer in its RI Advice group. IOOF advice general manager Darren ...

AMP overhauls wealth leadership

ELIZABETH MCARTHUR, JAMIE WILLIAMSON  |  THURSDAY, 4 APR 2019
... and the imposition of additional licence conditions is part of ongoing efforts to make our expectations clear to AFS licensees," ASIC commissioner Danielle Press said. "ASIC will impose licence conditions based on what an applicant is seeking authorisation ...

Major advice licensee in possible best interest breach

JAMIE WILLIAMSON  |  THURSDAY, 4 APR 2019
Extra conditions have been placed on the AFSL of one of Australia's biggest financial advice licensees following an investigation sparked by phenomenal growth in adviser numbers in just six months. SMSF Advisers Network has had additional licence ...

CPD policy publication deadline looms

KARREN VERGARA  |  THURSDAY, 28 MAR 2019
Financial planners that have yet to publish a CPD policy on their website have less than four days to comply. Licensees have until 31 March 2019 to comply with the Financial Adviser Standards and Ethics Authority's continuing professional development ...

Morgans Financial licence conditions lifted

ELIZABETH MCARTHUR  |  MONDAY, 25 MAR 2019
... surveillance of Morgans' compliance with financial services laws, with a particular focus on the general obligations of licensees. Prior to the additional licence conditions being imposed, ASIC identified concerns relating to Morgans' arrangements for ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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