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Showing 761 - 770 of 1224 results for "Licensees"

IOOF profits slide across all key businesses

ALEX BURKE  |  WEDNESDAY, 15 FEB 2017
... in our advice group and have received in excess of 30 applications from experienced advisers from other institutional licensees." "Our continued strong flows in the face of turbulent market conditions highlights the strength of our business. Our continuing ...

Advice licensees must think digital

DARREN SNYDER  |  THURSDAY, 9 FEB 2017
The need for financial advice licensees to increase digital and social media education was uncovered in the latest industry survey. The survey of 153 advisers showed only 12.8% believed their licensee was providing adequate education when it came to ...

ASIC targets NAB super after compliance breakdown

ALEX BURKE  |  THURSDAY, 2 FEB 2017
... compliance and disclosure standards in the superannuation industry, including vertically integrated financial services licensees," ASIC deputy chair Peter Kell said. ASIC acknowledged NAB's cooperation throughout its investigation. Commenting on this ...

ASIC calls time on super disclosure exemption

ALEX BURKE  |  FRIDAY, 20 JAN 2017
... information solely because it relates to a subplan." The regulator said the changes were necessary to "increase RSE licensees and RSEs' transparency and accountability to the wider market (for example, via gatekeepers such as analysts, advisers and journalists) ...

Sydney firm sees AFSL cancelled

EMMA RAPAPORT  |  WEDNESDAY, 18 JAN 2017
... indicated that failure to comply with financial reporting obligations can be an indicator of a poor compliance culture. "Licensees are required to lodge financial statements and auditor reports with ASIC to demonstrate their capacity to provide financial ...

Regulator finalises ANZ compliance review

ALEX BURKE  |  FRIDAY, 23 DEC 2016
... AFS obligations. This is important in maintaining customer trust and confidence in the sector." "ASIC expects all AFS licensees to have systems in place to ensure they can satisfy their general AFS obligations," he said.

ASIC probe reveals 185 more CBA compo cases

KERRIE SYDEE  |  TUESDAY, 6 DEC 2016
... claiming they had not received advice or that transactions had been client directed. After receiving the letters the licensees agreed the clients received advice and conducted a review of that advice. The review found that the advice was inappropriate ...

Planning firms need succession rethink

KERRIE SYDEE  |  MONDAY, 5 DEC 2016
... their practice. "The recent announcements from ANZ reinforces that a large number of practices have been on a journey of licensees and/or parent organisations that is out of their control," Harding-Davis said. Speaking to Financial Standard following ...

Bridges appoints new CEO

KERRIE SYDEE  |  FRIDAY, 11 NOV 2016
... at Western Pacific Financial Advisors he played a key role in the transition of self-employed advisers to alternative licensees within the IOOF group. General manager of wealth management at IOOF, Renato Mota, said: "We are delighted to have Nathan in ...

Infocus celebrates success

KERRIE SYDEE  |  WEDNESDAY, 9 NOV 2016
... leading businesses providing exceptional financial advice across the Infocus and Patron Australian Financial Services Licensees. Announced at the group's annual conference in Singapore, a total of 18 awards were awarded across the Infocus and Patron ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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