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Showing 1 - 10 of 1940 results for "licensee"

Betashares-backed MA appoints head of adviser engagement

STAFF WRITER  |  THURSDAY, 15 OCT 2026
... 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 ...

Stumping up

RIDDHIMA TALWANI  |  WEDNESDAY, 14 OCT 2026
... 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 ...

Fortnum pays $1.35m to settle ASIC lawsuit

MATTHEW WAI  |  TUESDAY, 13 OCT 2026
... 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 ...

AFCA raises concerns over advice sector in systemic issues report

RIDDHIMA TALWANI  |  TUESDAY, 6 OCT 2026
... 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 ...

Adviser increase the 'strongest' since FY20: Padua WealthData

MATTHEW WAI  |  FRIDAY, 25 SEP 2026
... 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 ...

VBP names inaugural chief growth officer

VINNY VUCAGO  |  FRIDAY, 25 SEP 2026
... 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 ...

MDS drags Treasury to assess FSC levy proposal

RIDDHIMA TALWANI  |  WEDNESDAY, 16 SEP 2026
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 ...

FEATURE | Digital advice | Interlocking the pieces

MATTHEW WAI  |  MONDAY, 14 SEP 2026
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 ...

ASIC zeroes in on recurring compliance breaches

VINNY VUCAGO  |  THURSDAY, 10 SEP 2026
... 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 ...

Aperio joins Akumin

VINNY VUCAGO  |  WEDNESDAY, 9 SEP 2026
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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