FINANCIAL SERVICES LICENCE
Financial planning
ASIC cancels AFSL of financial services provider unable to comply with licence conditions...
Funds management
Listed managed fund trading service to be operational in first half of this year....
Financial planning
Beacon head of compliance replaced after former staffer leaves to start compliance service....
Financial planning
Former PIS boss Robbie Bennetts claims ASIC lacks an understanding of the financial services sector, is unwilling to listen and is not trusted and respected by the financ...
Financial planning
As the big banks move their focus away from advice, financial planners will most likely return to the non-aligned space, lawyer says....
Financial planning
Non-aligned advice can compete and grow but needs to shift focus away from asset management....
Financial planning
The Commonwealth Bank is calling for the introduction of a financial planner passport scheme, similar to the one operating in the United States. ...
Financial planning
Member firms of the Association of Independently Owned Financial Professionals will undergo AFSL compliance reviews to identify and remedy potential issues....
Superannuation
A choice of licensing options now faces accountants who want to handle SMSF business, so it’s important for them and advisers that they make the appropriate choice, write...
Financial planning
ASIC has banned a Queensland-based businessman for five years following his involvement in the deceptive marketing and selling of share trading software....
Financial planning
A dealer group head says he lost three practices to a cheque-book in the last 18 months, but all three have expressed a wish to come back....
Funds management
ASIC confirms GTL TradeUp has entered liquidation....
Financial planning
Perth-based Chambers Investment Partners has had its Australian financial services licence cancelled after the company failed to obtain professional indemnity insurance a...
Financial planning
AFSL service providers My Dealer Services and Libertas Solutions have partnered to launch a build-your-own-dealer-group type service into the market....
Financial planning
Paul Derham draws on extensive recent research to provides tips to help financial planners sail through their next licensee compliance audit. ...
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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...