With AFCA urging financial advisers to report instances of misconduct, Assured Support has broken down the red flags to be aware of in your own business.
The FAAA and other industry groups have responded to ASIC’s proposed relief under the reportable situations regime, making several recommendations to reduce “unnecessary regulatory burden”.
Australian Unity’s group managing director and chief executive has announced his plans to retire at the end of the year after two decades leading the company.
ASIC is launching a new portal for Australian Financial Services licensees in May to ease the process of applying for a licence.
The Federal Court has made orders freezing the assets of an individual allegedly associated with marketing Shield and First Guardian Master Funds.
AFCA’s Shail Singh has encouraged financial advisers, who are often the first to hear about examples of misconduct, to speak up and report such activity if they seek self-regulation.
Platinum chief executive Jeff Peters has indicated it is unlikely former co-chief investment officer Clay Smolinski will return to running the firm’s $4.2 billion flagship International Fund after his sabbatical.
Global wealth management platform FNZ has appointed a new group head of APAC, while boutique investment manager TWC Invest welcomes a chief technology officer.
TAL has appointed a senior manager for investment strategy and portfolio management who joins from a lead role at AIA.
Wealth technology platform HeirWealth has announced an integration with Class Super so advisers can link their accounts with the platform.
