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Showing 661 - 670 of 1237 results for "licensees"

New managing director at Paragem

KARREN VERGARA  |  MONDAY, 25 JUN 2018
... experience growing advice businesses make him the perfect fit to take Paragem forward. "More than ever, it is critical for licensees, advisers, platforms and technology providers to work hand-in-hand to create efficient and compliant business models," ...

Dover exit renews self-licensing calls

ALEX BURKE  |  MONDAY, 25 JUN 2018
... self-licensing regime. It's unclear at this stage where those 400 advisers will go, and ASIC has warned prospective licensees that they will need to "get audit reports and/or a reference from the licensee before Dover, and/or do other assessments of ...

MLC dealer group lead joins boutique

JAMIE WILLIAMSON  |  FRIDAY, 22 JUN 2018
... we help advisers build great client outcomes for their clients," Fitzpatricks chief executive John McMurdo said. Many licensees do not have the resources to invest in high quality coaching and mentoring services, but this is an area Fitzpatricks believes ...

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 ...