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AUSTRALIAN FINANCIAL SERVICES
Financial planning
A company owned by the family of real estate juggernaut, Ray White, says it will be one of the few non-conflicted players in a planning space haunted by legacy issues, li...
Superannuation
A self-managed super fund trustee is set to face legal action relating to allegations of using money from the fund for other investments....
Financial planning
Australia’s main financial services hub is struggling to keep up with its Asian counterparts, with its rating slipping compared to some of the region’s emerging markets, ...
Financial planning
A NSW-man has been permanently banned from providing financial services after he was found to have misled clients into believing he could provide them with “exclusive acc...
Financial planning
Sydney-based AFSL, Invast Financial Services Pty Ltd, has paid $20,400 in penalties after ASIC issued two infringement notices for alleged misleading representation....
Financial planning
ASIC has cancelled the AFSL of Global Derivative Services after it failed to comply with licence obligations...
Financial planning
Platforms should report adviser fraud to licensees despite not being required under law to do so....
Financial planning
Consumers are unlikely to understand the term ‘independent advice’ and its use will help in the management of conflicts of interest according to KPMG....
Policy & Regulation
Chan and Naylor’s David Hasib claims conflicted remuneration is still a problem for the planning industry with too many noses in the trough....
Financial planning
Mortgage Choice will push into financial planning aiming to double planners numbers by June 2015....
Financial planning
Regulator claims Macquarie Equities Limited (MEL) had “very poor” record keeping and lack of detail in its advice documents....
Top 100
Wide variations in the number of financial planners reported to be operating in the industry has been a feature of the sector for some years but, as Jason Spits writes, a...
Financial planning
Dealer group Libertas Financial Planning expands its dealer services model to accountants and signs first accountancy practice to the service....
Financial planning
Learn about the pros and cons of owning AFSL and weighs them up against becoming an authorised representative of a larger licensee...
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MARKET INSIGHTS
Podcast
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...