Search Results | Showing 41 - 50 of 1666 results for "licensee" |
| | | ... without client consent. If it were found that such fees had been charged without consent, then the adviser and their licensee would be obliged to refund them as well as being subject to a range of penalties," she said. The second option is to proceed ... |
| | | | ... services more broadly," AMP group executive, advice Matt Lawler said. "As the operator of one of Australia's largest licensee networks, we understand what advice practices are looking for to operate profitably and compliantly under a corporate license. ... |
| | | | ... that Rogers ought to have known "there was a conflict between the client's interests and the interests of Mr Rogers, his licensee and the referrer of the client and he failed to prioritise the client's interests". The panel has the power to make a registration ... |
| | | | ... have finalised the transfer of Millennium3, adding 75 practices to the latter's network. Handing over $2 million for the licensee, WT Financial has added about 140 wealth and risk advisers across more than 75 firms. It said, based on modelling, the acquisition ... |
| | | | ... in acquiring member data from employers. "APRA considers additional data could be utilised in many facets of the RSE licensee's operations to improve understanding of the member demographic potentially to assist with the determination of retirement income ... |
| | | | ... AAT "accepted ASIC's submissions that Ms Anderson was under independent and distinct obligations than those owed by her licensee to comply with her professional obligations and that her conduct was not excused or explained away by a reliance on the instructions ... |
| | | | ... rapid pace of change we have observed in recent years." "Licensed online trading providers are required to meet important licensee obligations as gatekeepers for offers of investment products and services to retail clients. "Where we identify significant ... |
| | | | After receiving Royal Assent on November 27, ASIC is urging all financial advisers who service retail clients to register before the 1 February 2024 final deadline. From this date, advisers otherwise known as relevant providers who provide personal ... |
| | | | APRA has released new insights into superannuation product performance, revealing that most on-platform trustee directed products (TDPs) underperform their benchmark and exhibit higher administration fees. The prudential regulator's analysis based on ... |
| | | | ... to make sure we could put that legacy issue behind us," Lawler said. "We've had no different impact to any other licensee in terms of why advisers are exiting... Through out surveys with advisers, we've seen a massive uptick in their satisfaction ... |
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