Search Results | Showing 1 - 10 of 1233 results for "licensees" |
| | | ... recognises long-tenured advisers with a clean record. According to Rainmaker's Financial Adviser Report for the June quarter, licensees are viewing AQF 8 as the benchmark for advisers moving forward. The Graduate Diploma (AQF 8) is the most common highest ... |
| | | | ... eight, under a new principles-based proposal by ASIC. Sell-side research is prepared by Australian financial services licensees such as investment banks and stockbrokers to help clients make investment decisions including about upcoming initial public ... |
| | | | ... "Platforms already sit within a multi-layered governance model - filtering out unsuitable options, with researchers, licensees and advisers applying further scrutiny - so the objective should be to enhance those controls, not duplicate them in a way ... |
| | | | ... portfolio services (IDPS)," HUB24 explained. During the quarter, the platform also increased agreements with 36 new licensees, bringing the total number of advisers on platform to 5649, growing 11% from the same period last year. HUB24 said strong demand ... |
| | | | ... with a 71.6% pass rate. An analysis by Padua WealthData highlighted the adviser numbers dropping below 15,000, as seven licensees have reduced to zero advisers. In the new financial year, the adviser population dipped below 15,000, as seven licensees ... |
| | | | ... 132 individuals did not have any qualifications or training courses marked from some 82 Australian financial services licensees. Of those individuals, 106 records on the FAR have been updated to reflect they are, in fact, qualified, while 26 have had ... |
| | | | ... engaged in conduct that is misleading or deceptive, dishonest, and inconsistent with the fundamental obligations of AFS licensees to act efficiently, honestly and fairly," ASIC said. "ASIC's action reflects its ongoing focus on disrupting investment ... |
| | | | ... to serve the purposes of general and specific deterrence, and reinforces the vital importance of financial services licensees ensuring that the systems they deploy in the provision of those services are designed and operated in a way that connects with ... |
| | | | ... persistent gaps in advice fee controls, limited checks of advice documents, insufficient focus on understanding the advice licensees' and if they use lead generators or third-party referral sources along with inadequate monitoring of key risk indicators ... |
| | | | ... their own data to help detect potentially harmful switching behaviour. The regulator is continuing its review of advice licensees that use lead generation business models and intends to publish further findings later this year. |
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