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Showing 611 - 620 of 1224 results for "Licensees"

Practifi continues growth trajectory

JAMIE WILLIAMSON  |  TUESDAY, 6 NOV 2018
... management capabilities and TIQK's auditing tools significantly reduces the burden of compliance for advisers and licensees," Practifi chief commercial officer Adrian Johnstone said. "This partnership makes proactive compliance management a reality." ...

Advisers choose their own journey on BT hub

DARREN SNYDER  |  FRIDAY, 2 NOV 2018
... changes across investment platforms and the launch of BT Panorama Compact. BT Open Services is open to all advisers and licensees irrespective of whether they have a relationship with BT platforms. Head of BT Open, Phil Butterworth said the adviser hub ...

ASIC and Austplan agree to mutual breakup

DARREN SNYDER  |  FRIDAY, 26 OCT 2018
... representatives. ASIC is continuing to make enquiries in relation to the advice provided. ASIC deputy chair Peter Kell said: "AFS licensees have an obligation to ensure that their representatives are adequately trained and competent to provide financial ...

ASIC to review FDS compliance

HARRISON WORLEY  |  TUESDAY, 16 OCT 2018
... the corporate regulator is concerned about systemic non-compliance. The FDS review will examine to what extent advice licensees issue FDSs and renewal notices to customers and whether they do so within the time frame as required by the law, in addition ...

IOOF expands managed accounts offering

KARREN VERGARA  |  FRIDAY, 12 OCT 2018
... financial goals and needs. That can only be good for their clients." MPS via Pursuit Select is available to two of IOOF's licensees, Bridges Financial Services and Consultum Financial Advisers. IOOF anticipates it will offer MPS to the broader market. ...

Royal Commission an opportunity: Anderson

JAMIE WILLIAMSON  |  THURSDAY, 11 OCT 2018
... Anderson was much less forgiving. "It's simply a failure to meet contractual obligations. ASIC has really called out licensees on this and there's no question that it's just not good enough," he said. "You cannot justify the non-completion of services ...

ASIC delays adviser reporting deadlines

KARREN VERGARA  |  THURSDAY, 11 OCT 2018
... number of disclosure obligations in light of transitioning to the new financial adviser professional standards reforms. Licensees now have to provide ASIC details about authorised provisional providers between 15 November 2019 and 31 December 2019. According ...

CBA to refund dead customers, grandfathered commissions

JAMIE WILLIAMSON  |  TUESDAY, 9 OCT 2018
... management business, CBA has announced it will be reviewing advice fees charged to deceased estates across all its advice licensees and issuing refunds with interest where fees were dishonestly charged. A broader review of deceased estates is underway ...

YTML launches advice app aggregator

JAMIE WILLIAMSON  |  MONDAY, 8 OCT 2018
... technologies, but also of advice processes." The documents produced by Seido were developed in response to feedback from licensees and practices that advice documents are unwieldy, take too long to produce and are not easily understood by clients. "With ...

BTFG to boost managed account capability

JAMIE WILLIAMSON  |  WEDNESDAY, 3 OCT 2018
... arrangements. Further, just last month it launched an external responsible entity SMA capability on Panorama allowing licensees to partner with a licensed external RE and leverage Panorama's solutions to deliver bespoke SMA solutions. Citing Investment ...