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FINANCIAL SERVICES LICENCE
Financial planning
IMAP claims a lack of dealer group knowledge is undermining managed discretionary account (MDA) adoption....
Financial planning
Dealer group-aligned financial planning practices earn slightly less per year than those with their own Australian Financial Services Licence (AFSL), according to a Macqu...
Financial planning
Breaches around structured products and advice see ASIC impose licence conditions on JB Global....
Financial planning
Boutique planning firm Minchin Moore Private Wealth has joined BT Financial Group's (BTFG's) Securitor network, BTFG has announced....
Financial planning
An online compliance forum aimed at meeting the needs of Australian Financial Services Licence and Australian Credit Licence holders has been launched by Holley Nethercot...
Financial planning
Synchron is encouraging its advisers to lobby politicians against the FOFA reforms, which it says pander to the 'socialist' union super fund movement....
Financial planning
Queensland boutique PWK Private Wealth Advisers has moved under the Paragem umbrella....
Financial planning
ASIC has imposed additional licence conditions on Queensland firm, iPlan, after surveillance uncovered conflicts of interest....
Financial planning
The Australian Chamber Orchestra (ACO) is targeting sophisticated philanthropic investors with a new wholesale fund aimed at benefiting from the appreciating value of rar...
Financial planning
Peter Joyner and Associates has lost its Australian Financial Services Licence (AFSL) for failing to maintain adequate professional indemnity (PI) insurance, among other ...
Financial planning
The collapse of a managed investment scheme has led ASIC to ban a Victorian adviser for four years and suspend the licence of the firm he worked for....
Financial planning
A Sydney-based derivatives dealer has been banned from providing financial services following an investigation into allegations of misleading conduct and conducting busin...
Policy & Regulation
Count Financial will apply to become the investor-directed portfolio services operator and registrable superannuation entity with respect to its strategic platform offeri...
Financial planning
Count will apply for second AFSL and aim to become the IDPS operator and RSE with respect to its strategic platform offerings in response to the banning of volume-related...
Financial planning
The National Institute of Accountants (NIA) has opposed moves from financial planning bodies to have the use of the terms 'financial planner' and 'financial adviser' rest...
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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?...