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Showing 601 - 610 of 1224 results for "Licensees"

AFCA receives 500 super complaints in first month

HARRISON WORLEY | THURSDAY, 6 DEC 2018

... with their financial firm." So far, the authority has resolved 15% of November complaints, with less than 6% of its licensees copping complaints in November. Of those who were complained about, banks led the way with 2367 complaints, closely followed ...

ASIC funding numbers released

HARRISON WORLEY | THURSDAY, 6 DEC 2018

... the financial advice sector as a result of its new cost-recovery funding. In addition to the minimum levy of $1500, licensees providing personal advice to retail clients on relevant financial products contributed $934 per adviser in the first year of ...

HUB24 secures bespoke platform mandate

JAMIE WILLIAMSON | FRIDAY, 30 NOV 2018

... Alcock said the platform provider is delighted to be partnering with Patersons, supporting its ongoing growth strategy. "Licensees and advisers are selecting HUB24 due to our continued commitment to innovation and connecting their clients to opportunities ...

Miscalculations delay remediation, more issues emerge: AMP

JAMIE WILLIAMSON | WEDNESDAY, 28 NOV 2018

... notification was made by AMP to ASIC ON 31 May 2018 in relation to the conduct of a managing director of one of its advice licensees. Wilkins explained that an adviser was being off boarded as a result of compliance issues and attempting to sell their ...

AMP partners with Morningstar

JAMIE WILLIAMSON | TUESDAY, 20 NOV 2018

AMP appointed Morningstar as its external research provider to advice licensees. Working with AMP's existing in-house advice research team, Morningstar will provide a range of services to enhance investment research and governance across approved product ...

Code of ethics still the main game: FPA

DARREN SNYDER | MONDAY, 19 NOV 2018

... organisations, applied to ASIC to become a code monitoring body. Marshan said until now financial planning and advice licensees have been the sole supervisor and monitor for many advisers. "Licensees had authorised them, employed them and given them ...

FASEA clarifies adviser exam rules

DARREN SNYDER | MONDAY, 19 NOV 2018

... hours each CPD year (including a maximum four hours of professional reading), of which 70% will need to be approved by licensees. FASEA has defined minimum hours for CPD categories as follows: Technical - five hours; Client Care and Practice - five hours ...

Gender diversity in advice dormant

JAMIE WILLIAMSON | FRIDAY, 9 NOV 2018

... Accountants' Association (32%), State Plus (30%) and Capstone Financial Planning (31%). Smaller, non-aligned or employee-owned licensees appear to have far higher ratios of women, accounting for 38% of total advisers. Overall, the licensees with ...

ASIC moves to make licensees FASEA compliant

JAMIE WILLIAMSON | FRIDAY, 9 NOV 2018

... Financial Adviser Standards and Ethics Authority. The consultation focuses on the organisational competence of advice licensees with ASIC looking to introduce a new option for demonstrating the skills and knowledge of a responsible manager known as Option ...

More than half of advisers without association membership

JAMIE WILLIAMSON | THURSDAY, 8 NOV 2018

... the FBAA's is aligned with AMP Financial Planning, as are the MFAA's. There are more advisers from a greater range of licensees affiliated with the FPA, AFA, CPA Australia, SMSFA and IPA. Digging deeper into the key associations, the greatest number ...

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Federal Court calls out ASIC for re-running case on appeal

RIDDHIMA TALWANI

The Full Federal Court of Australia has criticised regulators for falling back on appeals to re-litigate cases on a different legal basis than the one run at trial.

Evergreen founder exits Ascalon Capital

KARREN VERGARA

Ascalon Capital has bid farewell to Evergreen Consultants' founder Angela Ashton, shortly after acquiring the consulting firm last year.

Powerhouse Ventures partners with European fund manager

KARREN VERGARA

ASX-listed Powerhouse Ventures has partnered with an unnamed European fund manager that will commit US$50 million to its fledgling Critical Infrastructure Opportunities (CIO) Fund.

KeyInvest unveils new investment platform, awards mandate

MATTHEW WAI

KeyInvest has launched a new investment platform to include a plethora of investment strategies ranging from private credit to global equities.

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