DEALER GROUP
Policy & Regulation
There is no reason why the Australian Securities and Investments Commission (ASIC) should not approve a code of conduct for a single licensee or dealer group, says Minter...
Financial planning
Dealer group Professional Investment Services has restructured with state manager roles being cut in a new regional approach....
Editorial
There has been a tendency to forget about the ACCC ever since the regulation of consumer protection in the financial services industry moved to ASIC in 2001. But as Grant...
Accounting
The introduction of the APES 230 ethical standards for accountants will not affect WHK's business model, according to the dealer group's chief risk officer Craig Lake....
Financial planning
Ford + Scott Financial Planning has resigned from Securitor and joined Paragem's AFSL....
Financial planning
Financial planning groups will lose the presumption of innocence where volume rebates are concerned....
People & Products
BT Investment Management has grown its wholesale sales team with the appointments of Nick Mitchell, Laurice Considine and David Bolsom....
Financial planning
Independent dealer group Premium Wealth Management has grown its network to 23 practices via Platinum Wealth Management coming on board....
Editorial
The dealer group model is changing and BT’s Mark Spiers says financial planners will need to make choices consistent with the newly evolving reality....
Financial planning
GBST has released a new wealth management platform that it said is market ready for incoming Future of Financial Advice (FOFA) requirements....
Financial planning
Non-aligned dealer groups are having to adopt a creative approach to filling the revenue shortfall left by bans on volume rebates....
Financial planning
Some authorised representatives of banned licensee Morrison Carr claim ASIC did not notify them as soon as the dealer group's licence was cancelled, leaving them practisi...
Superannuation
Smaller licensees may hold the solution for financial advisers seeking more value-for-money when it comes to dealer group fees, according to Pinnacle Practice director An...
People & Products
Former ANZ executive Alan Logan appointed to head AFS....
Policy & Regulation
A Money Management roundtable has identified a key consequence of opt-in - orphan clients....
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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...