 DAVID COURT | FRIDAY, 14 MAR 2025 The distinction between wholesale and retail clients is a fundamental part of the financial services regulatory system. The main effect of the distinction is that most of the disclosure, training and conduct rules under the financial services laws only ... Read more DAVID COURT | FRIDAY, 7 MAR 2025 The distinction between wholesale and retail clients is a fundamental part of Australia's financial services laws. The continuing increase in retail client regulation over recent years and the increasing ease with which clients can meet the wholesale ... Read more DAVID COURT | THURSDAY, 2 SEP 2021 The responsible manager (RM) of a licensee plays a key role under the financial services and credit licensing regimes. However, many RMs are concerned as to their responsibilities and liabilities when things go wrong. This paper examines the role, responsibilities ... Read more DAVID COURT | FRIDAY, 14 DEC 2018 The distinction between wholesale and retail clients is a fundamental part of the financial services laws. The continuing increase in retail client regulation over recent years (such as the FOFA reforms) and the increasing ease with which clients can ... Read more PAGE: 1 |
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Former financial adviser charged in alleged $160k super fraud case
Former financial adviser Abdullah Popal has been charged with alleged fraud offences in Sydney's north-west, accused of hoodwinking five individuals out of over $160,000 from their self-managed super funds (SMSFs).
Reducing super tax cap to $2m 'a concern': FAAA
The FAAA has voiced concerns over the Labor government's proposed superannuation tax, saying if they are negotiating with the Greens, a reduction in the cap to $2 million would be problematic.
FAAA calls for stronger consumer protections in advice reforms
The Financial Advice Association of Australia (FAAA) has opposed collective charging for "always complex and costly" retirement planning advice and emphasised the need for consumer protection in the provision of super nudges in its submission to Treasury on the Delivering Better Financial Outcomes (DBFO) ...
Adviser numbers jump in March quarter: Rainmaker
The March quarter saw the highest number of financial advisers join the sector in the last seven years to reach 15,982, according to Rainmaker Information.
Further Reading
Cover Story
Moving mountains
MAGDELINE JACOVIDES
FOUNDER AND FINANCIAL ADVISER
MAZI WEALTH
FOUNDER AND FINANCIAL ADVISER
MAZI WEALTH
On top of running a successful practice, Mazi Wealth founder Deline Jacovides is a fierce advocate for closing the superannuation gender gap and has built a highly popular social media presence that takes financial literacy to the next level. She tells Karren Vergara where her passion comes from and how she integrates it all with family life.
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Redefining Pathways: What financial planning can learn from accounting's bold move
When I traded my Chartered Accountant hat for a career in financial planning, I didn't just switch professions - I gained a new perspective on the evolving ...
'Chameleon ETFs': Still groundbreaking and here to stay?
It was coined as a 'gamechanger' - an ETF that can be bought and sold on the ASX or Cboe Australia but that can also be applied for, and redeemed, directly ...
Now is the time to be brave
Recently, the first Delivering Better Financial Outcomes bill passed in both the Senate and the House of Representatives, marking a significant step forward ...
Why philanthropy is an important conversation advisers should have with clients
Financial advisers are in the box seat to assist clients with their philanthropy, yet a lot still don't raise the topic with clients.
