HOLLEY NETHERCOTE

Financial planning

Financial advice licensees account for two-thirds of firms which have implemented remediation in the past 12 months, according to research....

Financial planning

Two-thirds of all licensees are paying over $1 million annually in internal compliance costs, including 13 per cent of those with less than 100 staff and representatives,...

Financial planning

Three things are missing from the government’s formal response to the QAR, according to the FAAA’s Phil Anderson, while a panel has shared why they believe the QAR should...

Expert Analysis

A move to regulate the Buy Now Pay Later space could have wide-ranging implications and change the investment case for holding the providers in portfolios, writes Ursula ...

Expert Analysis

With the recent spate of data breaches now extending to the financial services industry, AFSLs are racing to ensure that their information management procedures are up to...

Financial planning

Having already enacted 11 interim stop orders regarding target market determinations, the industry should not expect ASIC to slow down and using templates could be one ca...

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Financial planning

The law should protect licensees reporting other licensees under the new breach reporting regime given it will not be anonymous, according to Holley Nethercote....

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Features

There is a raft of compliance obligations coming into place over the next few months and advisers need to ensure they have all their ducks in a row to avoid any breaches,...

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Financial planning

There have been rising cases of advisers who have found themselves as subjects of a breach without their knowledge after applying for their own Australian financial servi...

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Expert Analysis

Working as a director in financial services can come with regulatory risk, writes David Court, so it is important to know how to manage those responsibilities and avoid a...

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Expert Analysis

Zoe Higgins examines the changes surrounding best interests duty and how it will affect mortgage brokers who will have to ensure they are lending responsibly....

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Features

Australia’s dob-yourself-in breach reporting is hard now, but things are about to get a lot harder, writes Holley Nethercote’s Paul Derham and Michael Mavromatis....

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People & Products

Kath Bowler has joined financial services law firm, Holley Nethercote, as general manager of Compact, its training and compliance business....

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Expert Analysis

Grant Holley explains what the Royal Commission is, what it can do, and how financial services providers may find themselves under its scrutiny....

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Never miss the latest news and developments in wealth management industry

Squeaky'21

My view is that after 2026 there will be quite a bit less than 10,000 'advisers' (investment advisers) and less than 100...

3 days 13 hours ago
Jason Warlond

Dugald makes a great point that not everyone's definition of green is the same and gives a good example. Funds have bee...

3 days 13 hours ago
Jasmin Jakupovic

How did they get the AFSL in the first place? Given the green light by ASIC. This is terrible example of ASIC's incompet...

4 days 13 hours ago

AustralianSuper and Australian Retirement Trust have posted the financial results for the 2022–23 financial year for their combined 5.3 million members....

9 months 1 week ago

A $34 billion fund has come out on top with a 13.3 per cent return in the last 12 months, beating out mega funds like Australian Retirement Trust and Aware Super. ...

8 months 4 weeks ago

The verdict in the class action case against AMP Financial Planning has been delivered in the Federal Court by Justice Moshinsky....

9 months 1 week ago