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Showing 581 - 590 of 1224 results for "Licensees"

Banks, ASIC still at war over fees-for-no-service

HARRISON WORLEY  |  TUESDAY, 12 MAR 2019
ASIC's fee-for-no-service report card shows the regulator and some financial advice licensees still have fundamentally different views on what constitutes a fee-worthy service. ASIC's fees-for-no-service further review report card has shone light on ...

ASIC scolds banks over fee-for-no-service delays

HARRISON WORLEY  |  MONDAY, 11 MAR 2019
... scale reviews - they relate to systemic failures over long periods with reviews going back six to 10 years and cover 36 licensees from the six institutions that currently authorise more than 7,000 advisers," Press said. "However, we believe the institutions ...

Practifi integrates with XPLAN

KANIKA SOOD  |  WEDNESDAY, 6 MAR 2019
... specialist systems, has been embraced in every market we've entered," Elliott said. "Our focus on ensuring advice firms and licensees can run all aspects of their businesses, from the sales pipeline, through client management, to business analytics ...

Class makes managed accounts play

JAMIE WILLIAMSON  |  TUESDAY, 5 MAR 2019
... Investing in Philo Capital Advisers, Class will provide software to support the company's offering, including services to licensees using BT Panorama. The investment is via convertible notes which are expected to convert into equity based on a growth-related ...

ASIC releases AFSL approval data

JAMIE WILLIAMSON  |  FRIDAY, 1 MAR 2019
... ensuring an appropriate level of scrutiny is applied to these applications." Day also encouraged prospective applicants and licensees intending to apply for variations to consider the regulatory environment in doing so. "ASIC's licensing and registration ...

Accountant banned for bad SMSF advice

HARRISON WORLEY  |  TUESDAY, 19 FEB 2019
... posed major hurdles for individuals and were not for everybody. "ASIC will continue to take action when advisers or AFS licensees don't comply with the law," she said. "Consumers need to know that managing your own super is a major commitment that can ...

APRA could oversee stalled super fund mergers

KANIKA SOOD  |  WEDNESDAY, 6 FEB 2019
... to the Superannuation Industry (Supervision) Act (SIS Act), including giving APRA a power to issue directions to RSE licensees. "It may be that, in particular circumstances, addressing a stalled merger would be an appropriate use of such a power," Commissioner ...

AFSL reference checking protocols required

JAMIE WILLIAMSON  |  MONDAY, 4 FEB 2019
Financial advice licensees are not doing enough to communicate the background of advisers. As such, compliance with the Australian Banking Association's reference checking protocols should be mandatory for all advice licensees, the Royal Commission ...

Hayne recommends new regulatory overseer

HARRISON WORLEY  |  MONDAY, 4 FEB 2019
... for ASIC within superannuation, Hayne said the corporate regulator's responsibility is the relationship between RSE licensees and consumers, and added ASIC should be given power to enforce all provisions in the SIS Act which are or will become civil ...

Synchron renews calls on risk advice separation

KANIKA SOOD  |  FRIDAY, 1 FEB 2019
... our call for the separation of risk advice from financial planning advice," he said. Trapnell has long advocated for licensees to be hold a specialist Australian Financial Services Licence (AFSL) to deal in financial planning advice and/or life insurance. ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN  |   12:33PM
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA  |   11:56AM
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  |   11:09AM
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  |   12:20PM
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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