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Exemptions to AFSLs explained by ASIC
ELIZA BAVIN  |  THURSDAY, 26 NOV 2020
The Australian Securities and Exchange Commission (ASIC) has provided guidance to trustees of unregistered managed investment schemes in relation to whether they require an Australian financial services licence. The regulator stressed that a trustee ...
AMP Capital appoints NZ lead
ELIZA BAVIN  |  WEDNESDAY, 25 NOV 2020
AMP Capital has appointed a new managing director and head of clients for its New Zealand business. Rebekah Swan, currently NZ head of product and ESG investment specialist, is set to step into the role having been with AMP Capital for close to 19 years. ...
Count Financial targets growth with new hire
ANNABELLE DICKSON  |  WEDNESDAY, 25 NOV 2020
The ASX-listed advice and accounting group subsidiary has appointed a former NAB/MLC manager as its practice development and growth manager for Queensland. Stephen Carlton joins from NAB/MLC where he was business growth manager for Queensland and the ...
Dealer group chief executive departs
ELIZABETH MCARTHUR  |  TUESDAY, 24 NOV 2020
The chief executive of an IOOF dealer group has departed as part of the group's restructure after it acquired MLC Wealth. Geoff Kellett has departed Financial Services Partners after two years as chief executive, with IOOF moving towards shuttering ...
ASIC takes SMSF accountant to court
ANNABELLE DICKSON  |  TUESDAY, 24 NOV 2020
The Australian Securities and Investments Commission (ASIC) has commenced legal proceedings in the Federal Court against a Gold Coast-based SMSF accountant for failing to comply with an enforceable undertaking. Jenan Oslem Thorne, otherwise known as ...
AFCA pivots to member experience
ANNABELLE DICKSON  |  MONDAY, 23 NOV 2020
The Australian Financial Complains Authority (AFCA) is placing a higher emphasis on member experience following an increase in its membership base, two years on from its launch. In its first two years, AFCA's membership has grown to 40,000 members across ...
Sequoia reveals strategic plans
ANNABELLE DICKSON  |  FRIDAY, 20 NOV 2020
ASX-listed Sequoia Financial Group has revealed its plans to increase its adviser numbers and licensees to adjust to the shifting landscape of the financial advice industry. At its annual general meeting, Sequoia announced its strategic objective to ...
FPA board member joins new firm
ELIZABETH MCARTHUR  |  THURSDAY, 19 NOV 2020
Financial Planning Association of Australia (FPA) board member Julie Matheson has joined Peloton Partners. The Melbourne based financial services consultancy was founded by Rob Jones and Michael Harrison, both former Shadforth financial advisers. Matheson ...
Financial adviser reference checks under scrutiny
ELIZABETH MCARTHUR  |  THURSDAY, 19 NOV 2020
ASIC has released a consultation paper seeking feedback on reference checking protocols for financial advisers and mortgage brokers. Requiring financial advisers to have reference checks was one of the recommendations to come out of the Royal Commission. ...
ASX runs into trouble again
KANIKA SOOD  |  WEDNESDAY, 18 NOV 2020
After Monday's outage, the ASX was in trouble again yesterday as its Centre Point matching system closed off participants from using Chi-X bids and offers. The Centre Point is an anonymous matching system that matches buyers and sellers at the mid-point ...
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