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Showing 41 - 50 of 118 results for "Licenses"

Class integrates with startup to help advisers

JAMIE WILLIAMSON | FRIDAY, 9 SEP 2016

... account and direct client portfolio services to financial advisers, and Rubik to provide accountants holding limited licenses with advice technology.

PMIIG licence cancelled

MARK SMITH | FRIDAY, 5 AUG 2016

... follows similar actions against Dunfo Capital, Narrow Lane Investments and TMK Index. "ASIC has recently cancelled the AFS licenses of a number of wholesale service providers and the conduct of licensees in this sector will continue to be a priority ...

Last-minute accountant AFSL applications creating ASIC backlog

ALEX BURKE | FRIDAY, 8 JUL 2016

Now that the deadline for accountants to apply for limited or full Australian financial services licenses to continue providing SMSF advice has been reached, a substantial number of applications are still being assessed due to late submissions. In fact ...

Report finds fresh barriers to funds management exports

MARK SMITH | WEDNESDAY, 29 JUN 2016

... unique regulatory approach under the single Responsible Entity model; lack of recognition of Australian financial services licenses offshore; and uncapped liability on capital for Responsible Entities/product issuers. In releasing this latest report ...

Infocus purchases another advice business

DARREN SNYDER | TUESDAY, 5 APR 2016

... two AFSL holders. It also manages eight sector-specific multi-manager funds through subsidiary Alpha Fund Managers, and licenses proprietary CRM and practice management software to support financial advisers.

Investec buys stake in equity crowdfunding fintech

ALEX BURKE | TUESDAY, 9 FEB 2016

... a $2 million total investment cap and that crowdfunding businesses be required to hold Australian financial services licenses. Doctor Rob Nicholls, one of the CIFR report's authors, said at the time, "Instead of being feared, this interest should be ...

Limited AFSLs like "part-time surgeons"

ALEX BURKE | THURSDAY, 14 JAN 2016

... "part-time surgeons," according to John Birt, principal of advice M&A broker Radar Results. Birt branded limited AFS licenses "dangerous" and argued that in order for accountants to provide quality financial advice they would need to "[commit] fully ...

ASIC accepts J.P. Morgan enforceable undertaking

ALEX BURKE | THURSDAY, 19 NOV 2015

... Specifically, ASIC provides exemptions to these businesses from the requirement to hold Australian financial services licenses. In order to comply with these exemptions, the three entities were required to provide written disclosure to all clients to ...

PROFILE: Blue Sky managing director Mark Sowerby

MARK SMITH | MONDAY, 19 OCT 2015

... place a plan to set up Blue Sky, having identified what he calls the investment opportunity of a lifetime when water licenses and land title were separated by the government in 2005. Blue Sky Private Equity was established in July 2006 as a private equity ...

IOOF appoints head of best advice

LAURA MILLAN | MONDAY, 14 SEP 2015

... head of Cortex Advice Solutions at IOOF-owned SFG Australia. Cortex is the licensee service provider for SFG Australia licenses, which include Shadforth, Western Pacific and Outlook Financial Services. For the last two years, Cullen has been responsible ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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