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Showing 601 - 610 of 781 results for "Scope"

ASIC flags guidance on code approval

MELANIE TIMBRELL  |  WEDNESDAY, 2 MAY 2012
... of issues, including the requirement to do a fact find when giving scaled advice, and adviser and client agreement on the scope of advice. "Not surprisingly, we do not yet have a detailed, concluded view as to what would be required to meet the proposed ...

FPA calls on ASIC for clearer advice definitions

LINDA HAUSKEN  |  WEDNESDAY, 2 MAY 2012
... particularly in specific areas including what to include in a Statement of Advice (SoA) and how to best assess and disclose scope of advice. "We know that it's not easy to determine objective measures for 'quality advice' but the FPA's key message is ...

CPA responds to advice exemption

MELANIE TIMBRELL  |  TUESDAY, 1 MAY 2012
... regulatory model to be settled and ensure resolution of implementation issues associated with bringing financial advice under the scope of the tax agent services regime," said Bradbury. "The new regulatory arrangements will focus on the principles of ...

ETN fears grow following price plunges

ALEX DUNNIN  |  TUESDAY, 10 APR 2012
... which a shareholder can lay claim," they said. Exchange tradable notes being used to mirror indices which may be beyond the scope of regular ETFs raise concerns that retail investors using them may not fully understand them. The concern is leading to ...

Flaws in advice system revealed by ASIC report

ELISE BURGESS  |  WEDNESDAY, 28 MAR 2012
... good quality advice and the remaining 58% were adequate. Peter Kell, ASIC commissioner, said the results highlighted the scope for significant improvement in retirement advice with several areas where the financial advice industry needs to "lift its ...

Big Ben boosta

BENJAMIN ONG  |  TUESDAY, 27 MAR 2012
... hypothesis is wrong and structural factors are in fact explaining much of the increase in long-term unemployment, then the scope for countercyclical policies to address this problem will be more limited." Still, "it will become even more important to ...

Former Stonebridge broker banned for three years

RACHEL DAVIS  |  MONDAY, 12 MAR 2012
... client. In doing so, Kulisiewicz engaged in misleading or deceptive conduct by holding out that it was within authority of the scope of his employment to provide discretionary trading services. Kulisiewicz conducted a number of discretionary trades on ...

RBS signs MOU for sale of Asian assets

MELANIE TIMBRELL  |  FRIDAY, 2 MAR 2012
... Pacific, according to CIMB. "The MOU provides for the parties to negotiate exclusively with each other and finalise the scope and terms of a sale and purchase agreement," CIMB said in a statement, although no comment has been made on the potential value ...

Cost cutting key for Perpetual in 2012

CLAIRE MCGREAL  |  THURSDAY, 23 FEB 2012
... first flagged in November meant the company would now issue Requests For Proposals (RFPs) for outsourcing arrangements. "The scope of the RFPs includes consolidation of activities currently conducted both within Perpetual and externally by about 100 ...

HUB24 increases FUM by half a billion dollars

CLAIRE MCGREAL  |  FRIDAY, 17 FEB 2012
... now use the HUB24 platform. "HUB24 will enable us to achieve greater efficiencies in managing our Model Portfolios and the scope of services, which we plan to extend to the IFA market," said Stephen Romic, head of DFS Portfolio Solutions. The groups ...