THE FOLD LEGAL

Financial planning

The corporate regulator is expected to look closely at conflicts of interests for in-house managed account fees but conflicts of interest are easy to avoid, according to ...

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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

Best interest duty could apply to licensees and mortgage brokers even if the product was not a mortgage, according to The Fold Legal....

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Policy & Regulation

Financial advisers and authorised representatives looking to provide claims handling services for insurance products will be able to represent more than one Australian fi...

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Financial planning

Recommending a super or investment platform is providing financial product advice and advisers need to make sure they meet the needs and objectives of clients, according ...

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Financial planning

Those looking to acquire advice firms may be well-advised to terminate advisers if they have questionable regulatory compliance histories....

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Financial planning

Advisers recommending in-house managed account products to clients could be subject to scrutiny on whether it is a conflict of interest, according to The Fold. ...

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Financial planning

Licensees in an agreement with unlicensed product issuers cannot deal in a financial product unless they are issuing, varying, or disposing for the product issuer, accord...

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Financial planning

Firms looking to structure its group purchasing arrangements should look to alternatives as the group purchasing body relief might be replaced soon....

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Financial planning

It would be reasonable to have all Australian Financial Complaints Authority members pay for and be covered by the new scheme, according to a law firm....

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Life/Risk

Legislation surrounding the regulation of claims handling may have insurers and related parties look to fall under a single Australian Financial Services License to ease ...

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Financial planning

As planners may struggle to obtain finance to buy new practices, vendor finance may be a solution, according to a law firm....

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Financial planning

The buyer of last resort process is more complicated than advisers might expect as some licensees are focusing on where they can manoeuvre away from the agreed valuation,...

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Financial planning

The Safe Harbour provision does not provide as much protection as advisers expect and could be abolished in due course, according to The Fold Legal. ...

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Financial planning

The 'weaponisation of compliance' is bringing up wider problems with licensees, not just a few individual bad apples. ...

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MARKET INSIGHTS

Interesting. Would be good to know the details of the StrategyOne deal....

3 days 21 hours ago

It’s astonishing to see the FAAA now pushing for more advisers by courting "career changers" and international recruits,...

3 weeks 1 day ago

increased professionalism within the industry - shouldn't that say, FAR register almost halving in the last 24 months he...

4 weeks 1 day ago

Insignia Financial has made four appointments, including three who have joined from TAL, to lead strategy and innovation in its retirement solutions for the MLC brand....

2 weeks 3 days ago

A former Brisbane financial adviser has been charged with 26 counts of dishonest conduct regarding a failure to disclose he would receive substantial commission payments ...

2 days 19 hours ago

Pinnacle Investment Management has announced it will acquire strategic interests in two international fund managers for $142 million....

1 day 22 hours ago