responsible managers

Financial planning

Staying on track as a responsible manager

With Sanlam Private Wealth coming under ASIC pressure regarding the number of responsible managers in its business, law firm Holley Nethercote explores what the role enta...

Financial planning

Choosing the right responsible manager for your licensee

As a Federal Court judge notes the lack of experience held by the responsible manager of Lanterne Fund Services, Money Management explores what is required of the role. ...

Policy & Regulation

ASIC stands by Responsible Manager process

The Australian Securities and Investments Commission has said that claims that it causes serious delays in “stringently reviewing” responsible manager appointments are “p...

Policy & Regulation

ASIC overstepping in approving responsible managers

The Australian Securities and Investments Commission is causing headaches for Australian Financial Services licensees by approving responsible managers despite there bein...