Search Results | Showing 1 - 10 of 201 results for adviser referral |
| | | ... in place. "While Macquarie implemented effective controls from January 2020, its earlier failures meant that financial adviser Ross Hopkins was able to fraudulently withdraw around $2.9 million from his customers' accounts without being detected by Macquarie," ... |
| | | | ... August 2013 and 29 July 2013, SMSF Club was an authorised representative of RM Capital. Justin Beeton was a financial adviser and the sole director of the SMSF Club. ASIC believes that SMSF Club contravened s963G of the Corporations Act by accepting ... |
| | | | Former financial adviser Shivdeep Jaidka is under ASIC scrutiny; the corporate regulator has accepted a court-enforceable undertaking from him. After reviewing the financial services provided by Jaidka, ASIC found he failed to adhere to s961B and s961G ... |
| | | | ... circumstances of the individual," she said. In recent years, ASIC's review of SMSF advice uncovered inappropriate advice, adviser fraud and dishonesty to the detriment of trustees. Some cases have resulted in criminal charges. Sciacca named one example ... |
| | | | ... care and retirement planning modelling tools, as well as cybersecurity support. Advisers can also access a buyer's agent referral service, as well as a debt advice solution. Professional indemnity and cyber insurance is also available. In crafting the ... |
| | | | The Financial Services and Credit Panel (FSCP) made another registration prohibition order against a financial adviser who tried to recommend an SMSF and investment products that were not suitable to a client. Melbourne-based Stephen Rogers, a representative ... |
| | | | A new strategic partnership between Praemium and researcher CoreData aims to deliver research-driven product enhancements, client education initiatives, and thought leadership from the industry. Firstly, in using CoreData's research capabilities ... |
| | | | ... executive Alex Vynokur commented. Additionally, Vynokur flagged that the company is "actively exploring" the development of adviser-specific features, including a referral program to link investors with more complex needs to advisers, which "will be ... |
| | | | Perpetual Asset Management has appointed longstanding wealth operative Tom Loneragan as head of listed and direct. In this role, Loneragan will sit within the distribution and sales team and report to the firm's head of wealth, Lee Hopperton. The ... |
| | | | Developing a wealth transfer plan remains on the to-do list for Australia's wealthiest, according to LGT Crestone's latest State of Wealth report. The report, now in its fourth year, uncovered nearly two thirds of Australian high-net-worth (HNW) ... |
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