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Showing 621 - 630 of 1224 results for "Licensees"

AFCA membership deadline arrives

JAMIE WILLIAMSON  |  FRIDAY, 21 SEP 2018
... membership of the Australian Financial Complaints Authority. ASIC has issued a warning to all Australian financial services licensees, superannuation trustees and authorised credit representatives reminding them that membership to AFCA is mandatory and ...

CBA research lead heads to Morningstar

KANIKA SOOD  |  FRIDAY, 7 SEP 2018
... team. He brings a strong background across research and managing teams, along with knowledge of advice and working with licensees and advisers." CBA has confirmed that current senior manager, investment research Brent Bevan has been promoted to replace ...

Reverse mortgage lenders shortsighted: ASIC

KARREN VERGARA  |  WEDNESDAY, 29 AUG 2018
... borrower's short-term objectives and little to no attention was paid to their possible future needs. "Inquiries made by licensees lacked sufficient detail and followed a 'tick-box' formula. Lenders also did not document any inquiries about ...

More risk advisers offloading practices

KARREN VERGARA  |  WEDNESDAY, 29 AUG 2018
... valued at 1.8x. Radar noted some providers of legacy products have been switching off the trail commissions paid to licensees in a bid to put clients' best interest first. One risk insurance register's value dropped by about 13% - or about $100,000 ...

Retail super funds in hot water: Royal Commission

KARREN VERGARA  |  MONDAY, 27 AUG 2018
... gravity of the events in question; NAB continuing to deduct adviser service fees following the death of a member via licensees MLC Investments and Navigator Australia. It may have breached sections 912A(1)(a) and 912A(1)(c) of the Corporations Act; Retaining ...

ClearView results up despite adviser earnings drop

HARRISON WORLEY  |  FRIDAY, 24 AUG 2018
... year to $5.2 million. The firm's wealth management arm grew both its product suite and distribution footprint, with 44 licensees now able to recommend its wealth products. Life insurance profits were also up, by 5% to $26.1 million, owing to a 21% rise ...

IOOF adds advice GM

JAMIE WILLIAMSON  |  MONDAY, 20 AUG 2018
... will welcome a new general manager for its combined financial advice business. Currently ANZ general manager, aligned licensees and advice standards, Darren Whereat will transition to the newly-created role on October 1 when the acquisition is completed. ...

Conflict of interest too great for NULIS: Royal Commission

HARRISON WORLEY  |  THURSDAY, 9 AUG 2018
... trustee was acting in the best interests of members, upon becoming aware of this issue, it would insist that these advice licensees that it was paying carried out a proper review to determine whether or not services had been provided in exchange for ...

Limited MDA deadline closes in

KARREN VERGARA  |  WEDNESDAY, 8 AUG 2018
... ROA service model" that might include SMAs, he said. On August 6, ASIC released an information paper for advisers and licensees who have been using the No-action letter or limited MDA approach for portfolio management. Potter said the information paper ...

Fees for no service remediation passes $250 million

DARREN SNYDER  |  WEDNESDAY, 8 AUG 2018
... interest for failing to provide advice while charging ongoing fees. Other institutions and Australian financial services licensees (AFSLs) that have identified potential fee for no service failings include Bendigo Financial Planning, Police Financial ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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