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Showing 571 - 580 of 1907 results for "licensee"

Adviser faced with further dishonesty charges

ANNABELLE DICKSON  |  MONDAY, 3 MAY 2021
A Western Australian financial adviser has been charged with 12 more counts of dishonest conduct and three counts of false documentation in addition to previous charges for stealing super. Rahul Goel was first charged with four counts of dishonest conduct ...

Former Australian Unity adviser banned

JAMIE WILLIAMSON  |  THURSDAY, 29 APR 2021
... fully transfer their super balances and continued paying higher fees. Chan also failed to disclose the emails to his licensee and ASIC at the outset of the regulator's investigation, which ran between 2017 and 2018. Throughout the investigation ...

CountPlus member firm to make acquisition

ANNABELLE DICKSON  |  TUESDAY, 27 APR 2021
... Strategic Wealth Management principal Nicholas Moustacas said one of the main reasons to partner with the CountPlus-owned licensee was that it is not owned by a company that's priority is to sell product. "Secondly, there are clearly no hidden agendas ...

How managers win ESG mandates

ELIZABETH MCARTHUR  |  TUESDAY, 27 APR 2021
New research from Investment Trends has revealed how investors choose ESG product providers, and it's bad news for some of the big names in funds management. According to the research, conducted by Investment Trends and Australian Ethical, 87% of ...

Dealer group offers new fee structure

ELIZABETH MCARTHUR  |  TUESDAY, 27 APR 2021
... "However, financial advice is no different to any other occupation and advisers should be entitled to be supported by their licensee if they require flexible working arrangements to balance work and family commitments." He added that he has observed ...

Clime appoints new chief executive

KANIKA SOOD  |  MONDAY, 26 APR 2021
... for over three years, before it was acquired by Clime in 2020. Prior to this, she was BT Group Licensees' head of licensee development. "Clime is delighted to have secured Annick as our new group [chief executive]. Since the acquisition of MFG [Madison ...

Advisers to go forth with claims handling

ANNABELLE DICKSON  |  MONDAY, 26 APR 2021
... reported to ASIC. ASIC will require licensees to lodge breach reports in a prescribed form within 30 calendar days after the licensee is aware of a reportable situation. However, the AFA also pushed to delay the breach reporting law over concerns small ...

IOOF licensees to take remedial action

JAMIE WILLIAMSON  |  MONDAY, 26 APR 2021
IOOF will take remedial action to address deficiencies identified by ASIC within Bridges Financial Services and RI Advice Group. During surveillance in December 2020, ASIC found 15% of client files from Bridges and 17% of files from RI Advice contained ...

Iress partners with regtech for DDO

ANNABELLE DICKSON  |  FRIDAY, 23 APR 2021
The financial services software company has announced it is integrating Objective Corporation with its blockchain technology for its design and distribution obligations (DDO) solution. The integration will allow product issuers to publish Target Market ...

Adviser numbers at five-year low

KARREN VERGARA  |  FRIDAY, 23 APR 2021
... the number of advisers dropped 11% at the end of March 2021. The SMSF Advisers Network is currently the largest advice licensee, followed by AMP Financial Planning, Morgans, Synchron and Charter. Over the course of 12 months, GWM Adviser Services welcomed ...