DAVID LOCKE
People & Products
The Australian Financial Complaints Authority (AFCA) has appointed Dr June Smith as deputy chief ombudsman, and Evelyn Halls as lead ombudsman banking and finance....
Financial planning
As financial planning firms worry about whether their professional indemnity insurance will cover legacy complaints, the Australian Securities and Investments Commission ...
Policy & Regulation
Financial planning firms should brace for an influx of legacy complaints in the wake of the Australian Securities and Investments Commission clearing the final regulatory...
Financial planning
The Australian Financial Complaints Authority has announced it is recruiting for a number of newly-created senior roles....
Financial planning
The Australian Financial Complaints Authority reported it received over 13,000 phone enquiries in its first month of operation. ...
Financial planning
The Australian Financial Complaints Authority has publicly listed 231 financial firms potentially in breach of their licensing obligations....
Policy & Regulation
The new ombudsman vows to “proactively work with consumers, small business and the financial services sector to resolve and reduce financial disputes”....
People & Products
Australian Charities and Not-for-Profits Commission assistant commissioner David Locke has been named as the new chief ombudsman and CEO of the Australian Financial Compl...
Never miss the latest news and developments in wealth management industry
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...