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AUSTRALIAN FINANCIAL SERVICES
Financial planning
Organised crime gangs are putting ‘sleepers’ into financial services companies to extract client data that can be used for fraud....
Financial planning
In response to industry confusion, the Australian Securities and Investments Commission has clarified that authorised representatives do need to identify their Australian...
Financial planning
Australian Funds Marketing Limited, which was previously known as Australian Wholesale Funds Marketing Limited, has moved into the retail space after obtaining the approp...
Financial planning
The Tasmanian District Registry of the Federal Court of Australia has issued orders to wind up two unregistered investment schemes that attracted over $5.5 million in inv...
Financial planning
The chairman of the Australian Prudential Regulation Authority, John Laker, has argued that recent efforts to harmonise arrangements with the other financial services reg...
Financial planning
Ord Minnett has announced a new online portfolio reporting service supported by Praemium Portfolio Services will now be available for its clients....
Financial planning
MLC has called for the super fund sole purpose test to be amended to allow members to pay for financial advice from their super fund....
Financial planning
The Financial Planning Association has amended the level of experience it requires from its Certified Financial Planner candidates to better reflect that of a typical car...
Financial planning
The Australian Securities and Investments Commission has succeeded in having interim injunctions granted against two unlicensed Queensland investment schemes....
Financial planning
The ALP has declared its intention, if successful in gaining government next year, to establish a taskforce with a view to making Australia the financial services hub for...
Financial planning
The WHK Group (WHK) has retained Inspector Compliance to provide compliance services....
Financial planning
A Sydney financial adviser has been banned from providing financial services for three years after failing to ensure his advice was appropriate to his client’s needs....
Financial planning
Specialist financial services software provider Pentafin Services has entered into an agreement to supply Andrew West Stockbroking with its WealthVue wealth management pl...
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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...