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Australian Financial Services Regulatory Update - May 2021 | Jones Day

This edition of the Update covers: 1. Recent legal and regulatory developments, including the release of ASIC's immunity policy for market misconduct offences, a FATF.

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10 more AFSLs close, advisers exit | Money Management

As far as licensees were concerned, Financial Services Partners saw a departure of 10 adviser roles, Bridges Financial Services was down eight roles and Perks & Associates lost six roles. Williams said that there was again a log tail of losses with 14 licensees down by two and 39 licensees down by one role. At the same time, 36 licensees made net adviser role gains of 64. “Leading the way was Hoxton Capital Management, a UK based firm with nine taking its Australian holding to 11. All nine advisers appear based overseas, eight in the United Arab Emirates (UAE) and one in the UK. None had prior entries on the ASIC FAR,” Williams said.

United kingdomUnited arab emiratesColin williamsFinancial services partnersBridges financial servicesPerks associatesFinancial adviser registerHoxton capital managementஒன்றுபட்டது கிஂக்டம்ஒன்றுபட்டது அரபு அமீரகங்கள்கொலின் வில்லியம்ஸ்நிதி சேவைகள் கூட்டாளர்கள்பாலங்கள் நிதி சேவைகள்ஹாக்ஸ்டன் மூலதனம் மேலாண்மை

More licensees close as adviser numbers continue to drop

Williams said it would be interesting to watch how many of these small accounting based licensees would remain post FASEA (the Financial Adviser Standards and Ethic Authority) exam requirements as their numbers were reducing each week. “It could lead to opportunities for established advisers to form new relationships with accountants who are calling time on their short financial advice career,” Williams said. Also, according to HFS’ analysis, this week saw 39 licensee owners make net losses for a total of (-77) adviser roles. This was followed by 47 licensees having reported net adviser losses for a total of 81 adviser roles, with IOOF-owned Bridges Financial Services and Garvan Financial Planning (MLC) losing 15 and seven roles, respectively.

Colin williamsFinancial servicesEthic authorityFinancial adviser registerFinancial adviser standardsBridges financial servicesGarvan financial planningகொலின் வில்லியம்ஸ்நிதி சேவைகள்பாலங்கள் நிதி சேவைகள்கார்வான் நிதி திட்டமிடல்

ASIC exposes advice issues at IOOF

ASIC exposes advice issues at IOOF
investordaily.com.au - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investordaily.com.au Daily Mail and Mail on Sunday newspapers.

Holdings ltdFinancial servicesBridges financial servicesஹோல்டிங்ஸ் லிமிடெட்நிதி சேவைகள்பாலங்கள் நிதி சேவைகள்

Advice deficiencies found in IOOF after ASIC probe

Advice deficiencies found in IOOF after ASIC probe
smsfadviser.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from smsfadviser.com Daily Mail and Mail on Sunday newspapers.

Tony zhangRi advice group pty ltdBridges financial servicesHoldings ltdBridges financial services pty ltdGroup pty ltdடோனி ஜாங்பாலங்கள் நிதி சேவைகள்ஹோல்டிங்ஸ் லிமிடெட்குழு ப்டி லிமிடெட்