FINANCIAL SERVICES LICENCE
Financial planning
Melbourne-based dealer group Quadrant Securities is set to buy the 50 per cent stake held in it by Challenger Financial Services Group (CFSG), through dealer group Garris...
Superannuation
Financial advisers and accountants may still benefit from establishing strategic alliances with each other in relation to providing advice on self managed super funds (SM...
Financial planning
An Australian Securities and Investments Commission (ASIC) investigation saw a South Australian financial adviser appear in the Adelaide Magistrates Court on Friday charg...
Financial planning
The Australian Securities and Investments Commission (ASIC) has today taken action in two areas of considerable regulatory focus of late - early release super schemes and...
Financial planning
The Australian Prudential Regulation Authority (APRA) has accepted an enforceable undertaking from a third former AM Corporation director in light of its investigation in...
Financial planning
The Australian Securities and Investments Commission (ASIC) has warned it will crack down on any organisation continuing to operate post-March 10 without a valid Australi...
Financial planning
Count deputy managing director Kylie Lambert will step down from the role at the end of this month and leave the financial services group to take on a management role in ...
Financial planning
National Australia Financial Planning Business (NAFPB) is to focus on providing workplace financial advice to clients following its incorporation of MLC Private Client Se...
Financial planning
Q: I am the nominated responsible officer of our Australian Financial Services Licence (AFSL). What am I responsible for and what am I potentially liable for?...
Financial planning
The introduction of Financial Services Reform (FSR) legislation seems to be frightening many advisers – but life advisers appear to be particularly concerned. John Wilkin...
Financial planning
Two Promina owned dealer groups – financial planning advice focused Cameron Walshe and life risk advice orientated Guardian Financial Planning - are to be rolled into one...
Financial planning
With all the changes the Financial Services Reform Act (FSRA) has brought, what do you need in terms of education to become a financial planner? Julie Bennett reports....
Financial planning
The Australian Securities and Investments Commission (ASIC) has released a guide on complying with Policy Statement 166 (PS166) after inadequate licence applications and ...
Financial planning
The Australian Securities and Investments Commission (ASIC) has moved to make it easier for corporate groups to satisfy the cash needs requirement under Policy Statement ...
Financial planning
Mid-size mortgage broking firm, Lawfund, is close to taking equity in a Sydney-based dealer group, with director Sal Correro confirming negotiations are well-advanced....
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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...