 SEAN GRAHAM | FRIDAY, 19 JUL 2024 Under Australian financial services laws, Australian Financial Services (AFS) Licensees and financial advisers face stringent compliance obligations regarding the collection, use, and protection of personal information. Failure to comply can result ... Read more SEAN GRAHAM | FRIDAY, 1 MAR 2024 We recently learnt that 98% of the new advice licensees that commenced operation in 2023 were 'micro-licensees'-that is, licensees with fewer than ten advisers. Despite the media attention, this is not a new trend. In fact, it is the inevitable, and ... Read more SEAN GRAHAM | FRIDAY, 18 AUG 2023 Being a Responsible Manager is not easy. As the industry continues to grow and adapt, it is crucial for managers to stay informed and make informed decisions that benefit their licensee and satisfy regulators and stakeholders. In this article, we offer ... Read more SEAN GRAHAM | FRIDAY, 26 NOV 2021 Advisers and licensees have had a lot of regulatory reform to manage in 2021, so it is no surprise that there is still a measure of confusion and uncertainty around these new arrangements. Queries about fee disclosure statements (FDSs) and ongoing fee ... Read more SEAN GRAHAM | THURSDAY, 23 SEP 2021 Considering the deluge of regulatory reform bearing down on licensees and advisers, it is not surprising that the product design and distribution obligations have largely been overlooked. That is a mistake, because although they will not be one of the ... Read more SEAN GRAHAM | THURSDAY, 8 JUL 2021 For a variety of reasons, including client preferences, the 'cost of compliance' and perceptions of value, there is an increasing focus on general advice. For some a sanctuary from the Financial Adviser Standards and Ethics Authority (FASEA), increasing ... Read more SEAN GRAHAM | THURSDAY, 12 JUL 2018 Making recruitment make sense As the Royal Commission has highlighted, advisers have generally enjoyed unfettered mobility between licensees; neither their compliance, conduct nor capability have provided any real obstacle to determined licensees focused ... Read more SEAN GRAHAM | TUESDAY, 12 JUN 2018 The end of vertically integrated businesses "The reports of my death are greatly exaggerated" - Mark Twain. Those of us who recently sat, transfixed and unblinking, captivated by the Royal Commission have now had time to reflect. The Commission offered ... Read more PAGE: 1 |
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Cover Story
Passing the baton
LIAM ROCHE
ADVICE ASSOCIATE
EUREKA WHITTAKER MACNAUGHT PTY LTD
ADVICE ASSOCIATE
EUREKA WHITTAKER MACNAUGHT PTY LTD
Liam Roche's experience in customer relationships and paraplanning has set him up for success as a financial adviser. Now undertaking the Professional Year, the advice associate at Eureka Whittaker Macnaught tells Karren Vergara how a new breed of advisers is flying the flag.
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