Licensees

Licensees

ASIC reveals 5 code monitoring ‘steps’ for licensees

The regulator has released the ‘reasonable’ actions licensees will need to take in their interim ethics monitoring role, and highlighted the specific Standards it will take a "facilitative" approach to.

Tahn SharpeNovember 26, 2019

Licensees

Licensees grapple with event sponsorship policy

While some dealer groups eschew payments from product providers to speak at adviser workshop days, most agree the inherent conflict can be managed and licensees should have the right to make their own decision.

Tahn SharpeNovember 25, 2019

Licensees

Where’s the love? Licensees turn on advisers

Institutions and large licensees are exiting advice and holding their reps to ransom with contract terms that may have been overlooked and seem at odds with the partnership that have been built up over time.

Tahn SharpeOctober 25, 2019

Licensees

Search for quality: What beer can teach us about compliance

Paul Barrett puts on his hat as chairman of a beer manufacturer to reluctantly answer the number one question financial advisers are asking.

Paul BarrettSeptember 30, 2019

Licensees

What advisers really think of their licensee

A revealing answer to the question 'What would a licensee need to do for you to switch?' gave an interesting insight into advisers' hearts and mind.

Simon HoyleSeptember 27, 2019

Licensees

HUB24’s Alcock backs mid-tier licensees

The outspoken platform head reckons ‘institutional dislocation’ will continue as medium-sized licensee groups take the reigns and win market share.

Tahn SharpeSeptember 11, 2019

Licensees

Centrepoint doubles down on fee-for-service transition

After getting 86 per cent of its 227 advice businesses to sign up for a fee-for-service model, the licensee is now focusing on conflict-free models for its dealer services offering.

Tahn SharpeSeptember 10, 2019

Licensees

Not all dealer services are built the same

The head of Clearview’s dealer services provider warns that self-licensed advisers are taking a chance by using providers that rely on external professionals to get the job done.

Tahn SharpeSeptember 6, 2019

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