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AFSL
Financial planning
With the highest number of candidates in a year sitting the latest financial advice exam, a surge of new entrants are expected in the coming weeks, according to Wealth Da...
Financial planning
In an open letter, Sequoia chief executive Garry Crole has hit out against shareholders “with a personal axe to grind” as he fights for his job ahead of an EGM....
Financial planning
Shaw and Partners co-CEO, Earl Evans, reflects on the advice firm’s decade-long success story and why fostering a quality work culture sits at the heart of the business....
Financial planning
Sequoia shareholders are due to hold a vote regarding the removal of chief executive Garry Crole and are looking to appoint the chair of a rival licensee in his place on ...
Financial planning
ASIC has cancelled the AFSL of a Brisbane advice firm in order to protect the interest of potential consumers as it feared the firm would breach financial services laws. ...
Financial planning
Sequoia Financial Group has seen a top-level reshuffle as the chair of the board, John Larsen, steps down after five years in the position....
Financial planning
Research by Wealth Data has found exactly half the number of advisers who have worked at closed AFSLs in the current financial year remain on the ASIC FAR....
Financial planning
As a Federal Court judge notes the lack of experience held by the responsible manager of Lanterne Fund Services, Money Management explores what is required of the role. ...
Financial planning
Insignia Financial’s chief risk officer sheds light why the “multidimensional” risks of operating a financial advice licensee requires a holistic and curious approach....
Financial planning
With 4.2 financial advice firms expected to fail per year, what type of problems can occur that could cause a licensee or micro-AFSL to go under?...
Financial planning
As the first quarter of 2024 comes to a close, Money Management looks back on the corporate regulator’s bans and AFSL cancellations in the financial advice sector....
Financial planning
Wealth Data analysis has seen a “significant jump” in gross revenue per financial adviser at eight ASX-listed financial advice licensees, and detailed the range between h...
Financial planning
ASIC has reminded advisers that their registration requirements are an ongoing obligation, having met the first deadline on 16 February, and highlighted when a registrati...
Financial planning
Five years after the firm went into liquidation, ASIC has cancelled the Australian financial services licence of troubled investment firm Endeavour....
Financial planning
Looking at which licensees are seeing the fastest growth over the six months, Wealth Data says there are three firms that stand out amid falling numbers....
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How did the licensee not check this - they should be held to task over it. Obviously they are not making sure their sta...
Faking exams and falsifying results..... Too stupid to comment on JG...
Must agree to disagree with you on this one Keith, with the Banks/Institutions largely out of advice now is the time to ...