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FINANCIAL SERVICES LICENCE
Financial planning
Global independent advice giant deVere Group has continued its push into the Australian market, launching its first Sydney advisory....
Financial planning
Non-aligned dealer group Capstone has teamed up with peak accountancy body the IPA as the deadline approaches for the removal of the accountants’ exemption next year....
Financial planning
Listed back office investment services provider, MDS Financial Group, will purchase boutique financial planning group Sequoia Wealth Group (SWG) and rebrand all its entit...
Life/Risk
ASIC has banned a Sydney-based insurance broker from the industry for three years after he allegedly failed to pass on collected premiums to insurers. ...
Accounting
Financial advisers should require more than one semester unit in tax law if they want to be licensed to provide tax advice, the Institute of Public Accountants believes....
Financial planning
The former director of a foreign exchange provider has been “restrained” from providing financial services after providing services not covered by its licence....
Superannuation
ASIC cancelled the AFSL of Coal Industry Superannuation Fund after its merger with AUSCOAL Super last year....
Financial planning
Advisers are expected to exit institutions en masse in 2015, with the product-heavy vertically integrated model facing an “adapt or die” future under the new advice regim...
Financial planning
A Sydney-sider who made investment recommendations to clients without holding an Australian Financial Services Licence (AFSL) has been banned from providing financial ser...
Financial planning
ASIC has appointed KordaMentha Forensic to identify high risk advisers within Commonwealth Financial Planning and Financial Wisdom and to review the licence conditions of...
Accounting
Independently-owned advisory firm Fortnum Financial Group (Fortnum) has moved into the accounting space with a new business, Fortnum Professional Strategies....
Superannuation
The Australian Securities and Investments Commission (ASIC) has taken its case against a property company to the Supreme Court, arguing the group is spruiking the use of ...
Accounting
The Fold Legal claims accountants are not adequately prepared when applying for AFS licences....
Financial planning
News Corporation’s Eureka Report is set to start testing a digital investor engagement solution next month, as talks continue with platform provider, OneVue. ...
Accounting
Accountants who provide advice on self-managed superannuation funds (SMSFs) need to consider the level of advice they want to give clients before new licensing rules come...
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MARKET INSIGHTS
Podcast
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...
So we are now underwriting criminal scams?...