 KARREN VERGARA | FRIDAY, 2 JUL 2021 The corporate regulator justified the staggering 160% jump in the adviser levy, from the time it was introduced in 2017-18, as a consequence of advisers abandoning the industry. Read more  SAMANTHA HILLS | WEDNESDAY, 16 JUN 2021 Many responsible managers (RMs) of Australian financial services (AFS) licensees are curious to know what they have to do and whether they are personally exposed. To get a handle on these issues, you need to understand the framework in which RMs exi ... Read more  CHRIS CHILDS | FRIDAY, 23 APR 2021 For the past decade, individual jurisdictions have fallen short of achieving the standardisation in trade reporting that would enable regulators to reach the level of transparency and global risk monitoring in the over-the-counter (OTC) derivatives ... Read more  SIMON BETCHLEY , JARRAD GRAY | FRIDAY, 26 FEB 2021 The minute the current fee-disclosure statement (FDS) and opt-in requirements became law, advisers across the country hung their heads in the knowing that this was going to add nothing to their client relationships other than an increase in costs due ... Read more  ALEXA BOWDITCH | FRIDAY, 18 SEP 2020 In times like these, can a business be confident that it will continue to comply with its obligations where it has outsourced certain functions? Read more  ANGELIQUE AKSENOFF | FRIDAY, 11 SEP 2020 As at 30 June 2020, the Australian Financial Complaints Authority (AFCA) had received 80,546 complaints, of which 78% were closed, and $258.6 million paid in compensation. Complaint areas and associated numbers were Read more  JON IRELAND | FRIDAY, 10 JUL 2020 In response to recent market volatility and disruption, investment fund issuers and their boards have been reminded of their governance and conduct obligations in light of emerging liquidity risks. In addition, issuers and distributors will need to ... Read more  LUKE PATERSON , ROB MACREDIE | FRIDAY, 19 JUN 2020 The global response to the coronavirus (COVID-19) pandemic has resulted in many ordinary business dealings now being undertaken remotely due to social distancing protocols and border shutdowns. Read more  GAVIN STUART | FRIDAY, 29 MAY 2020 People who are employees, customers and clients of many small businesses across the country have retreated into their homes for both work and self isolation. Businesses have been the subject of federal government (government) directions. Read more  LYNDA DOWLING | FRIDAY, 28 FEB 2020 It may have been over 10 years since the global financial crisis (GFC) unfolded, but the regulatory and political fallout is still driving change for the financial services sector. Read more |
Latest News
Adviser fakes exam certificate, cops ASIC ban
ASIC has slapped a permanent ban on a financial adviser who doctored her exam certificate and continued to provide advice without the proper qualifications.
Sequoia chief's job at stake in upcoming EGM
Sequoia Financial Group will hold an Extraordinary General Meeting (EGM) in June that will consider a resolution to remove chief executive and managing director Garry Crole.
Goldman Sachs ditches robo-adviser Marcus Invest
The investment bank is offloading Marcus Invest to Betterment just three years after announcing it will launch the digital adviser.
Fortnum, PFS launch parent company
Fortnum Private Wealth and its newly acquired advice business Professional Financial Services (PFS) will operate under a newly launched parent company brand, Entireti.
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.
Expert Feed
Five steps to drive high performance in advice firms
Australian financial advice firms have dealt with major industry reforms over recent years, and now encounter a shifting economic environment.
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In today's evolving technology landscape, there is rapidly growing interest in leveraging digital solutions to address the various challenges, particularly ...
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The not-so-secret sauce of enduring client relationships is an effective and engaging onboarding process. Do it well and you will likely have clients ...
Financial control
The term financial control generally evokes a weaker party being controlled by a stronger one. This might be in a relationship where one partner controls ...
