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Showing 751 - 760 of 1224 results for "Licensees"

ASIC cancels AFSL licences

EMMA RAPAPORT  |  MONDAY, 27 MAR 2017
... be prohibited from conducting a financial services business in Australia. In particular, ASIC has found that the two licensees failed to: Lodge annual financial statements and auditor's reports; and Maintain membership with an external dispute resolution ...

Professional standards need deeper thought: Consultant

JAMIE WILLIAMSON  |  WEDNESDAY, 22 MAR 2017
... industry. Lobby the government, talk with your association, discuss with your peers." Assured Support provides advisers and licensees with strategic advice around compliance and risk management processes and governance.

IOOF names new tech services head

JAMIE WILLIAMSON  |  TUESDAY, 21 MAR 2017
... expert understanding of best practice provision of financial services advice and strategies. He is highly respected by licensees, advisers and his peers across the broader industry," Mota said. "I am confident Martin will ably lead the TechConnect team ...

Fortnum creates professional advice framework

JAMIE WILLIAMSON  |  TUESDAY, 21 MAR 2017
... advice framework to provide the basis of business and advice solutions. Well-resourced, innovative and advice focused licensees are ideally positioned to help advisers prepare for, and capture opportunities to enhance the client experience," Fortnum ...

Major ASIC project finds serious financial advice concerns

ALEX BURKE  |  FRIDAY, 17 MAR 2017
... had identified, 73 had not been the subject of a breach report or any other notification from their licensee prior to licensees' obligatory reporting as part of this project. Furthermore, ASIC said that in instances where breach reports had been made ...

Former BT executive to head advice group

JAMIE WILLIAMSON  |  THURSDAY, 9 MAR 2017
BT Financial Group's former head of licensee development and BT Group Licensees is the new chief executive of a boutique advice licensee. Annick Donat has joined Madison Financial Group after resigning from BT in December 2016, having spent six years ...

Kaplan buys artificial intelligence regtech

JAMIE WILLIAMSON  |  FRIDAY, 3 MAR 2017
... via artificial intelligence. The Artemis tool identifies 'risky' content in the creation stages to help advisers and licensees remediate compliance issues when promoting financial products or services. "We are investing in real-time learning with the ...

Open data would protect advice industry: Adviser Ratings

JAMIE WILLIAMSON  |  FRIDAY, 24 FEB 2017
... managing director Angus Woods believes a more open and accessible compilation of financial advice firms, advisers and licensees would assist in the process of professionalising and re-establishing consumer trust in the industry. "In the US, they have ...

IMAP ensuring greater representation for MDAs

JAMIE WILLIAMSON  |  THURSDAY, 23 FEB 2017
... with a view to expand into other cities. To develop the forum, IMAP has formed a team of principals from a number of licensees with MDA authorisation. The group comprises: David Heather, managedaccounts.com.au Richard Nicholas, Peak Investment Partners ...

Centrepoint hires Citigroup executive as CIO

ALEX BURKE  |  MONDAY, 20 FEB 2017
... supporting our clients' needs first and foremost. With guidance and support from our community of financial advisers and licensees, we are building our capabilities in the areas advisers have told us they need support," de Zwart said. "With Toby's wealth ...