Search Results | Showing 1 - 10 of 1940 results for "licensee" |
| | | ... was at Oreana that she honed her expertise in onboarding of new practices, rolling out advice technology, and handling licensee governance and risk. She has also worked as a financial adviser in Singapore where she helped establish Aon's wealth management ... |
| | | | ... chief executive Neil Younger says under the current model the responsibility ultimately finds its way back to the advice licensee, which then has to remediate within its capacity, generally supported by professional indemnity insurance. "What Dr Mulino ... |
| | | | ... must properly manage and protect against cybersecurity risk. "Today's outcome is the third obtained by ASIC against a licensee over failures to adequately protect against cybersecurity risk, following previous enforcement actions against RI Advice and ... |
| | | | ... appropriateness and implementation of advice, authorised representative conduct, client authority and the effectiveness of licensee supervision. "During the reporting period, matters considered by AFCA raised concerns about inappropriate advice, misleading ... |
| | | | ... on 1 January 2026, with at least 450 advisers falling off the register. "The week was broad rather than big, with 23 licensee owners up against 18 down," Padua said. "A total of 81 advisers were affected by appointments and/or resignations this week ... |
| | | | ... and licensees. Craig Kouimanis has been appointed to the newly created chief growth officer position, joining VBP from licensee services company Paragem and reporting to chief executive Mark Fisher. Kouimanis has previously held senior roles at Securitor ... |
| | | | My Dealer Services (MDS) has called on Treasury to assess the Financial Services Council's (FSC) latest proposal to lift levies paid by licensees to ASIC, which it describes as an "attack" on small licensees. MDS has written to the Treasury to intervene ... |
| | | | Amid a rapidly evolving regulatory space, and the need to keep pace with innovation, financial advice has been thrown into a dynamic environment that's always changing. As a result, the sector requires constant support to remain compliant and keep ... |
| | | | ... professional year acquirements including record keeping, plans, tasks and logbooks. Candidates are also reminded to select a licensee and supervisor capable of providing appropriate supervision and resources throughout the supervised work and training ... |
| | | | Melbourne-based advisory firm Aperio Financial Services has switched licensees and joined Akumin as demand grows among advice practices for support to scale operations and improve efficiency. Aperio, which has advised families, business owners and young ... |
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