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AFSL
Financial planning
The corporate regulator has cancelled the AFSL of a Perth advice firm, with the firm having previously seen its licence temporarily suspended in 2020....
Financial planning
Having proposed changes earlier this year, ASIC has clarified how it will support licensees with additional relief under the reportable situations regime....
Financial planning
Advice licensee Count has seen an appeal filed to a class action against it which was dismissed earlier this year....
Financial planning
ASIC has cancelled the AFSL of an advice firm associated with Shield and First Guardian collapses, and permanently banned its responsible manager. ...
Financial planning
ASIC has cancelled the AFSL of a Sydney-based advice firm, describing how it demonstrated “competency failures” in its activities. ...
Financial planning
Those mid-sized licensees with 16–50 authorised representatives are experiencing a blind spot, according to compliance firm Assured Support, and ASIC could develop specif...
Financial planning
ASIC has cancelled the AFSL of a Sydney asset and investment manager following a payment by the Compensation Scheme of Last Resort....
Financial planning
Large AFSLs with more than 100 advisers are seeing the largest losses in both adviser and AFSL numbers as individuals seek a smaller, personal vision in their work....
Financial planning
The corporate regulator has cancelled the AFSL of a Queensland-based financial services provider, having held the licence since mid-2016....
Financial planning
The corporate regulator has officially launched its new digital portal for financial services businesses submitting AFSL applications, offering a more “efficient, modern ...
Financial planning
Advice licensee Finchley & Kent has announced a strategic partnership with technology firm Padua Solutions as licensees are encouraged to broaden their tech usage....
Financial planning
ASIC has cancelled the AFSL of global advisory group Brite Advisors after compensation was paid to an individual by the Compensation Scheme of Last Resort....
Financial planning
ASIC has suspended the Australian Financial Services Licence of a Melbourne-based financial advice firm....
Financial planning
Merchant Wealth’s David Haintz has described how the firm differs from the traditional private equity ventures jumping into Australia, and why M&A isn’t like Married at F...
Financial planning
Money Management examines the share price of financial advice licensees over one year to 31 March, with M&A actions in the final quarter having a positive effect for two ...
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The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...
Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...
It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...