Licensees

Licensees

‘No panic. No rumours. Steady hands’: Rowe

Right now is when the real advisers will stand up, says the head of CountPlus, Matthew Rowe. People’s character will show as the crisis deepens, and leaders will either show up or they won’t.

Tahn SharpeMarch 24, 2020

Licensees

Mind the gap: Every licensee has its compliance shortcomings

In the high stakes area of compliance, every licensee will have its strengths and shortcomings. In a continuation of this series of columns, compliance expert Conrad Travers looks at what on offer in the market for advisers.

Conrad TraversFebruary 14, 2020

Licensees

Fee for service ‘the new normal’: Clearview

The listed provider’s managing director sounded off at its annual roadshow on evolving fee structures, dealer groups getting “shafted” and the “wall of regulation” facing advisers.

Tahn SharpeFebruary 12, 2020

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

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