SOA
Financial planning
The Australian Securities and Investments Commission is considering making it mandatory for so-called ‘shelf fee’ arrangements between fund managers and dealer groups to ...
Financial planning
Records of advice have been included in a revised version of the Financial Planning Association’s guide on the development of effective Statements of Advice, released yes...
Life/Risk
Genesys Wealth Advisers is paving a new path for Australia’s risk insurance industry with a process designed to speed-up and simplify the underwriting process....
Financial planning
An authorised representative of Count Financial has had limitations placed on his advisory activities by the regulator after a follow-up investigation into the superannua...
Financial planning
The Financial Planning Association is to investigate the circumstances surrounding the enforceable undertaking provided by AMP Financial Planning to the Australian Securi...
Editorial
Information is power and in today’s complex and sophisticated business world our regulators are more often turning to the legislative search and access powers to collect ...
Financial planning
ASIC has proactively followed up the main findings of its shadow shopping survey regarding superannuation choice with some suggestions for licensees on how to address the...
Financial planning
The FPA is confident the industry will overcome conditions that led to a ‘statements of advice’ failure in the ASIC’s 2006 ‘shadow shopper’ survey on superannuation advic...
Financial planning
Financial planners have received another bad rap from the corporate regulator, with its latest shadow shopping report concluding that close to one in five advisers gave u...
Financial planning
Another desktop advisory software provider has entered the financial planning arena after signing a contract with a mid-sized, Sydney-based independent dealer group to he...
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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...