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Showing 81 - 90 of 104 results for %22AFSL Register%22

Adviser regulation lacking a professional body, RC hears

KARREN VERGARA  |  FRIDAY, 27 APR 2018
... January 2017 and prohibited him from working as an adviser until 8 January 2022. At the time, he was under Securitor's AFSL and is currently with Synchron. Tindall was also a member of the FPA. A month after the banning order was issued, the FPA ...

Offshore investment vehicles await passport arrival

KARREN VERGARA  |  TUESDAY, 16 JAN 2018
... released the draft legislation in October 2017 so fintechs can test financial services and products without the burden of an AFSL over a 24-month period. Superannuation and life insurance products; the issuance of consumer credit and non-cash payment ...

Synchron adds to adviser network

KARREN VERGARA  |  WEDNESDAY, 6 DEC 2017
... compared to the number of institutionally associated advisers at just 4%. This shows the boutique to mid-sized firms that own an AFSL, which is about one-third the market, is driving 80% of the growth, the report said. The largest advice groups, which ...

ASIC audits limited AFSLs

KARREN VERGARA  |  THURSDAY, 20 JUL 2017
ASIC recently audited 20 limited AFSL holders to assess how they were faring with their obligations following the removal of an exception for accountants to give advice on SMSFs in July last year. ASIC found licensees were uncertain about steps they ...

Poor compliance sees AFSL suspended

JAMIE WILLIAMSON  |  MONDAY, 1 MAY 2017
... not disclose the nature of services provided by Australia Wealth Capital Group though a search of the regulator's AFSL Register shows the company was previously authorised to provide a number of services including general financial product advice and ...

Mobile education drives advice professionalism

JAMIE WILLIAMSON  |  WEDNESDAY, 5 APR 2017
... wealthdigital plans to deliver later this year. "The portal will become an end-to-end compliance and risk management system at the AFSL, practice and planner levels. In this way, the wealthdigital reference library will provide support, training, and ...

Fintech Nod takes on the unadvised

EMMA RAPAPORT  |  TUESDAY, 21 MAR 2017
... vets all the advisers who appear on the platform, the liability for ensuring that the correct advice is given falls on the AFSL licensed adviser. Nod will soon launch Nod Plus which will allow advisory firms to bring their existing client base onto the ...

Managed accounts forum sold out, 2015 adviser survey results revealed

STAFF WRITER  |  WEDNESDAY, 7 OCT 2015
... by 2017. However, those who said they won't be offering them at all cited restrictions against managed accounts on their AFSL or on the group's Approved Products List (APL) as the major reasons why not. Leading managed accounts practitioners will be ...

IFAs to benefit from ASIC SME focus

ALEX BURKE  |  FRIDAY, 17 JUL 2015
... suggested that ASIC could further expand its role in financial advice by providing a mobile version of its Financial Adviser Register to consumers.

Treasury proposes higher regulatory levies for super funds

ALEX BURKE  |  THURSDAY, 21 MAY 2015
... million. Funding from the superannuation industry to support the ATO - which administers the Superannuation Lost Member Register and Unclaimed Superannuation Money frameworks - will increase substantially, from $7.1 million to $17.9 million. This accompanies ...