Search Results | Showing 981 - 990 of 1242 results for "licensees" |
| | | ... be registered, but there is no central register for employee representatives, which leaves the regulator relying on licensees to ensure the integrity of the representatives. "This can result in very real difficulties in ASIC's ability to locate and take ... |
| | | | ... "The majority of advisers retiring are practice owners, so who is buying their practices? Young advisers are not, so licensees step in and buy them." "There is a concern that most advisers will fall under few licensees, but we want to see a broad marketplace." ... |
| | | | ... Distribution for Charter Hall, Ross Victor, said that DIF2 was well supported across private banks, wealth divisions, licensees, and major platforms, including BT Wrap, Asgard, North, AMP Personalised Portfolio Service, Macquarie Wrap and Netwealth. ... |
| | | | ... person you are dealing with is licensed to provide financial product advice by searching ASIC's public register of AFS licensees or authorised representatives," said ASIC. "ASIC is focused on protecting consumers and where we see people recommending ... |
| | | | ... the woman's case and was able to recover some of the money. "The planner belonged to a listed company and had had six licensees in four years. None had checked their records," Kendall said. A panel discussed the issue and reached the conclusion that ... |
| | | | ... (FoFA) regulations has made a self-license more appealing for advisers looking to leave their dealer group. "Lots of licensees have restrictions in place that might not suit an adviser's philosophy," netwealth Advice Group head of Advice Simon Micallef ... |
| | | | ... regularly checks the veracity of information lodged as part of the requirement to lodge annual compliance certificates. "Licensees who think that we do not check the information they lodge with us, or that we do not ensure they lodge their ACC, are wrong. ... |
| | | | ... chief executive John De Zwart welcomed the news and confirmed that AAP serves over 200 boutique practices. "We have new licensees joining AAP in a weekly basis, so we think that people are really starting to value that service," De Zwart told Financial ... |
| | | | ... to the big-5 adviser conglomerates that account 55% of the market. AMP is the biggest advisory conglomerate with 12 licensees and 3,337 planners which is 179% the size of their nearest rival, ANZ OnePath. |
| | | | ... organisations providing financial products such as banks, superannuation funds, insurance companies and other credit licensees, stakeholders said that 25% don't operate with integrity, but 33% do. The industry also sees itself as unsuccessful when managing ... |
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