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Showing 621 - 630 of 1237 results for "licensees"

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 ...

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 ...