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Showing 71 - 80 of 960 results for "Registered"

Adviser numbers jump in March quarter: Rainmaker

KARREN VERGARA  |  FRIDAY, 2 MAY 2025
... industry, according to the latest Rainmaker Financial Adviser report. During the year to March, 1274 financial advisers registered with a new AFSL. The five AFSLs that attracted the most advisers were Alliance Wealth, InterPrac, Lifespan Financial Planning ...

DII drives life insurance disputes: APRA

KARREN VERGARA  |  THURSDAY, 17 APR 2025
... days. TAL, however, took the longest on average to resolve 237 advised customer disputes at 2.5 months. NobleOak also registered as one of the most sluggish to resolve a dispute at 2.1 months on average for advised customers, albeit from a small base ...

Janus Henderson to take on $75bn fixed income portfolio

ELIZA BAVIN  |  WEDNESDAY, 9 APR 2025
... Guardian and Janus Henderson will also co-develop proprietary, multi-asset solution model portfolios for Guardian's dually registered broker-dealer and registered investment advisor, Park Avenue Securities (PAS), which has more than 2400 advisors covering ...

Three AFS licensees pinged over compliance breaches

ANDREW MCKEAN  |  WEDNESDAY, 9 APR 2025
... financial adviser, who gave personal advice to a retail client in relation to "relevant financial products" without being registered. ASIC said registration requirements are an "important consumer protection" because it confirms AFS licensees have assessed ...

Falcon Capital, First Guardian Master Fund set for liquidation

KARREN VERGARA  |  TUESDAY, 18 MAR 2025
... currently under an ASIC investigation. Last June, the court ordered to freeze the assets of the Shield Master Fund, a registered managed fund with Keystone Asset Management acting as responsible entity. Chiodo is Keystone's director. He was ordered ...

NZ council seeks investment manager partner

KARREN VERGARA  |  WEDNESDAY, 12 MAR 2025
... and future generations. The council seeks investment managers that have local representation in New Zealand and are registered to provide financial services there. The portfolio adopts a socially responsible investment framework. Investments exclude ...

Freezing order slapped on First Guardian Master Fund, Falcon Capital

KARREN VERGARA  |  MONDAY, 3 MAR 2025
... is also under an ASIC investigation. Last June, the court ordered to freeze the assets of the Shield Master Fund, a registered managed fund with Keystone Asset Management acting as responsible entity. Chiodo, who is Keystone's director, was also ...

Government to scrap advisers' approved qualifications list

KARREN VERGARA  |  MONDAY, 10 FEB 2025
... individual advisers to register annually with ASIC from 1 July 2026. The first stage required all relevant providers to be registered before providing personal advice to retail clients about relevant financial products by 16 February 2024. Financial ...

SMA registrations double in three years: Data

JAMIE WILLIAMSON  |  FRIDAY, 31 JAN 2025
... Chris Donohoe said this is 66% higher than the rolling five-year average for the period. In all, 197 products were registered in the quarter. He said this is in line with the rolling five-year average, indicating a consistent trend of new product issuance. ...

Morgans Financial crowned largest licensee

KARREN VERGARA  |  WEDNESDAY, 8 JAN 2025
... advisers. Morgans recorded 431 active advisers at the end of 2024, while AMP FP had 426. On December 20, both AFSLs had 430 registered advisers, Rainmaker Information modelling of the ASIC Financial Advisers Register shows. Alliance Wealth's 367 ...