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Showing 81 - 90 of 176 results for "Statements of Advice"

Midwinter partners with Licensing for Accountants

WHITNEY FITZSIMMONS  |  TUESDAY, 12 APR 2016
... features to ensure the limited advice provided by accountants meets the requirements of the licensing regime. Statements of advice (SOA) have also been incorporated into the AdviceOS software, allowing for simple advice to be produced in under an hour ...

ASIC accepts ClearView adviser EU

ALEX BURKE  |  WEDNESDAY, 20 JAN 2016
... clients without considering their "relevant personal circumstances" and omitted important information from statements of advice. ASIC also alleged Churchill misrepresented the benefits of level and stepped premiums and "limited the advice in some cases ...

ASIC hits ex-ANZ adviser with ban

ALEX BURKE  |  THURSDAY, 14 JAN 2016
... during which he was an authorised ANZ representative. ASIC alleged that Cheung forged client signatures on statements of advice, investment and withdrawal forms and created false bank and advisory service forms. Cheung has made an appeal to the Administrative ...

PROFILE: NAB Financial Planning general manager Paul Fog

ALEX BURKE  |  MONDAY, 23 NOV 2015
... embarking on this journey, so it was an exciting and fun time to be doing it." "It was around that time that statements of advice were introduced, so the whole concept of broader financial planning was really emerging during that time. Prior to that ...

CBA publicly welcomes former staff bans

MARK SMITH  |  THURSDAY, 8 OCT 2015
... Kent was banned for eight years contravening financial services laws. Specifically she failed to produce statements of advice, submitted alteration requests containing false information, forged client signatures and charged excess fees. Jamieson was ...

ASIC bans ex-Genesys adviser

ALEX BURKE  |  THURSDAY, 1 OCT 2015
... relevant circumstances." He also provided advice without a reasonable basis and "relied excessively on template statements of advice containing prepopulated information, failing to tailor them to the client's specific circumstances which led to false ...

FEATURE: Managed accounts - more than meets the eye

ALEX BURKE  |  FRIDAY, 4 SEP 2015
... get the tax benefits of owning those stocks directly. But for the adviser business, you're still writing statements of advice when you want to change asset allocation because the discretionary component only relates to the Australian equity part of the ...

Adviser linked to Spring FG banned for document forgery

LAURA MILLAN  |  THURSDAY, 3 SEP 2015
... letters to MOGS to get his commissions. He also failed to give SMSF clients financial services guides and statements of advice and he was not licensed or authorised to provide advice to SMSF trustees.

SelectingSuper CompareOnline enhances research depth

STAFF WRITER  |  THURSDAY, 20 AUG 2015
... funds and their call centres and other stakeholders looking for easy access to product information to use in Statements of Advice and market comparisons. As use of SelectingSuper CompareOnline has increased, Rainmaker has intensified its research processes ...

Advisers to remain at centre of CBA: Narev

MARK SMITH  |  WEDNESDAY, 22 JUL 2015
... cases but stressed it was important to get the decisions right and that it would take time to draw up new statements of advice. "We've got to accept that in the short-term we'll wear some criticism for appearing slow but in the long-term we're making ...