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Showing 51 - 57 of 57 results for "Australian Financial Services Licensees"

FPA board approves move away from commissions

COMPANY RELEASE  |  FRIDAY, 23 OCT 2009
... include risk products, rebates and related payments that are product directed payments to Australian Financial Services Licensees. At the same time, the FPA said it encourages the industry, product providers and planners to implement a transparent and ...

FPA to provide PI insurance to members

MICHAEL HOBBS  |  THURSDAY, 20 MAR 2008
... effective professional indemnity insurance is not just a legislative requirement for all Australian Financial Services Licensees, it is an integral part of our members' capacity to deliver professional financial advice to clients," said Bloch. According ...

Regulators fight breaches online

RUTH LIEW  |  WEDNESDAY, 12 MAR 2008
... reportable breaches across all institutions in APRA-regulated industries and all ASIC-regulated Australian financial services licensees.

ASIC revises regulations for AFS license holders

CHRIS NICHOLLS  |  TUESDAY, 26 JUN 2007
... conditions. The changes come into effect immediately. ASIC has also withdrawn three guides for Australian financial services licensees in light of the clarifications above.

ASIC issues guidance on general advice warning and SOAs

... of Advice (SOA) and released a proposal to reduce the repetition of advice warning for Australian financial services licensees and their representatives. The SOA example and consultation paper on general advice warning were part of the projects for the ...

ASIC bans Queensland advisor

... withdrawn in February 2004. Ruurda had also acted as an authorised representative of two Australian Financial Services licensees. "ASIC will take action to ensure that financial representatives demonstrate honesty and integrity in both their dealings ...

Guidance on SOAs from ASIC

ASIC has provided guidance on Statements of Advice (SOAs) to help Australian financial services licensees fulfil their obligations under the Corporations Act 2001. The guide is aimed at addressing both content and presentation deficiencies discovered ...
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