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Showing 721 - 730 of 1237 results for "licensees"

HUB24 upgrades platform

KARREN VERGARA  |  MONDAY, 20 NOV 2017
... holistically, including securities under a Holder Identification Number via the HUB24 platform and AgilityConnect. Five licensees are currently benefiting from this integration, including Euroz, the latest addition to the platform. Subsequently, the ...

ASIC needs tougher, direct powers: Taskforce

KARREN VERGARA  |  THURSDAY, 9 NOV 2017
... Review Taskforce highlights several shortcomings the corporate regulator requires to restrict certain activities and have licensees adopt internal systems. The Taskforce found massive delays exist from the time a concern arises, restrictions are imposed ...

Super needs greater oversight from APRA: Poll

KARREN VERGARA  |  MONDAY, 30 OCT 2017
... small APRA funds with four or less members. APRA emphasised the importance of registrable superannuation entity (RSE) licensees implementing robust strategic and business planning processes to ensure their funds deliver high quality, value-for-money ...

Melbourne advice firm cops historic $1 million fine

JAMIE WILLIAMSON  |  MONDAY, 30 OCT 2017
... deputy chairman Peter Kell said: "This outcome makes clear to the industry the serious consequences of financial services licensees failing to comply with their FOFA obligations. ASIC will continue to pursue licensees who fail to do so." In addition ...

Mastering education skillsets will be long-term: Research

JAMIE WILLIAMSON  |  THURSDAY, 12 OCT 2017
... that many of you already have acquired to be recognised by others. This work has now shown that regulators, academics, licensees, advisers, clients and consumers all agree that you need more than technical skills to be a competent adviser," he said. ...

Increased scrutiny driving regtech need

JAMIE WILLIAMSON  |  TUESDAY, 10 OCT 2017
Kaplan Professional is urging financial advisers and their licensees to embrace regtech solutions in the face of ASIC's recent crackdown on non-compliance. Kaplan and Red Marker - which was acquired by Kaplan earlier this year - are working together ...

Powerwrap names new chief executive

JAMIE WILLIAMSON  |  TUESDAY, 10 OCT 2017
... Speaking as a current client of Powerwrap, Davidson said advisers and their clients are moving away from bank-aligned licensees and platforms in search of something unique in the high net worth investor segment with the highest-level of customer service. ...

ASIC outlines industry funding costs

ALEX BURKE  |  MONDAY, 9 OCT 2017
... services will pay a minimum levy of $10,000 which will be graduated based on revenue from activities. For Australian market licensees and exchange operators, levies will be graduated based on the value of transactions traded on each exchange. Market ...

Industry helps shape new adviser expectations

JAMIE WILLIAMSON  |  FRIDAY, 6 OCT 2017
... an exciting moment because through collaboration and a continuous consensus process; advisers, consumers, academics, licensees and manufacturers have built a model of all the skills and competencies needed to be a financial adviser," AFA general manager ...

Advisers flock to non-insto licensees

ALEX BURKE  |  SUNDAY, 1 OCT 2017
... dealer groups captured more than 70% of this growth, according to Rainmaker research. While institutionally-aligned licensees still represent 65% of the country's financial advisers, the research suggests this figure may drop in the coming years, attributing ...