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Showing 651 - 660 of 1224 results for "Licensees"

IOOF boosts adviser compliance support

KARREN VERGARA  |  TUESDAY, 19 JUN 2018
... strong desire to improve advice processes and client engagement efficiencies with the help of technology. For many self-licensees, business growth is front of mind. "Self-licensed businesses may be fiercely independent, but they all strive for above-average ...

ASIC issues warning over Dover advisers

JAMIE WILLIAMSON  |  WEDNESDAY, 13 JUN 2018
Advice licensees considering onboarding ex-Dover Financial Advisers' authorised representatives have been warned to ramp up due diligence processes by the corporate regulator. As the fallout from Dover's shock closure continues, ASIC has reinforced ...

HUB24 inks MDA, tech deal

JAMIE WILLIAMSON  |  WEDNESDAY, 13 JUN 2018
... including MDA, IDPS and superannuation. He acknowledged Fitzpatricks as an early pioneer in the managed accounts space. "Licensees and advisers are increasingly searching the market looking for advanced platform capabilities and flexible technology solutions. ...

AFA criticises draft FASEA standard

KARREN VERGARA  |  FRIDAY, 8 JUN 2018
... and focus, particularly around governance at the licensee level. The AFA said FASEA doesn't go far enough to include licensees in the code of ethics or addresses how to establish the correct compliance culture. What emerged from the second round of Royal ...

HUB24 launches portfolio management tool

KARREN VERGARA  |  THURSDAY, 7 JUN 2018
... formerly CFS head of institutional sales, is the new head of strategic sales. He will lead business initiatives involving licensees, boutiques and new corporate partners. Day joined the platform provider to take on the role of head of key accounts. In ...

Advice fintech reshuffles leadership

JAMIE WILLIAMSON  |  THURSDAY, 31 MAY 2018
... said the review "reaffirmed that Intiger will renew its focus on meeting the needs of Australian financial services licensees to provide large-scale, compliant quality advice."

APRA tells super funds to improve conflict of interest management

HARRISON WORLEY  |  WEDNESDAY, 30 MAY 2018
APRA's review of related party arrangements for Registrable Superannuation Entity (RSE) licensees and its recommendations were recently released. Chief among the prudential regulator's recommendations was a call for greater focus by superannuation licensees ...

APRA urges super funds to examine board skills

HARRISON WORLEY  |  FRIDAY, 18 MAY 2018
The prudential regulator is asking superannuation fund licensees to reconsider whether board members contain the requisite mix of skills and capabilities to fulfil their role. The regulator sent all registrable superannuation entities (RSEs) a letter ...

ASIC consults on advice code monitoring bodies

JAMIE WILLIAMSON  |  TUESDAY, 15 MAY 2018
... enforced by ASIC-approved compliance schemes. ASIC has proposed that the Corporations Act be reformed to require AFS licensees and authorised representatives to provide information to all code monitoring bodies to enable effective and proactive monitoring ...

Advice fintech shutters Sydney office

ALEX BURKE  |  TUESDAY, 15 MAY 2018
... because the review "reaffirmed that Intiger will renew its focus on meeting the needs of Australian financial services licensees to provide large-scale, compliant quality advice." This "renewed focus" will also see Intiger introduce new complementary ...