Search Results | Showing 1 - 10 of 202 results for "Approved Product" |
| | | ... business," Anderson said. To improve, Anderson said licensees must assess products before they had put them onto an approved product list (APL), stating that they can't just rely upon research houses, or products that were included on the investment ... |
| | | | ... Lonsec will also launch a new governance offering to support licensees, platforms, and wealth business in managing approved product lists (APLs) and investment menus in response to heightened governance expectations and scrutiny. Meanwhile, Evidentia ... |
| | | | ... ASIC alleges Interprac did not have an adequate process for approving financial products to be placed onto its approved product list (APL), relying entirely on minimum ratings from external research as a basis for APL inclusion. Court documents show ... |
| | | | ... dealer group or licensee, insist on a fund having an acceptable research rating before they'll add it to their approved product list (APL), even though the rating itself is essentially only a rubber stamp, with the potential that report is not read fully ... |
| | | | ... representations of Shield's performance; and failing to properly assess Shield before adding it to the firm's approved product list. ASIC said MWL also did not disclose its use of lead generators and failed to advise clients of their rights to ... |
| | | | ... our enforcement work - you are the first line of defence here. You must have strong quality controls for your approved product lists," Longo said. The investigation into the collapse of the two managed investment schemes has affected 11,000 investors. ... |
| | | | ... initiatives. She joined Schroders as an analyst from Insignia Financial, where she spent seven years developing an approved product list and model portfolios for advisors. In the role, she was tasked with conducting due diligence on a broad range of ... |
| | | | ... defined benefit opportunities, noting it was selected as the sole external lifetime annuity provider on UniSuper's approved product list. The firm also said it "continued to deepen its relationship with advisers" with quotes for Lifetime and CarePlus ... |
| | | | ... $10.3 million," Hackett said. GDG reported growth across "several key segments of the business," noting that approved product lists increased by 8% to 714, active financial advisers increased by 22% to 2271, and new investment bond numbers increased ... |
| | | | ... transforming AMP Advice into a sustainable, standalone advice business. We introduced a new service model, opened the approved product list, reduced operating costs and improved services to advisers which has significantly lifted adviser satisfaction. ... |
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