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RISKY BUSINESS. 05 Jun 2013
Advising commercial and corporate clients can be a risky business for insurance brokers, especially at the end of financial year when many policies are due for renewal or you’re taking over new accounts. A number of recent court cases have highlighted the importance of communicating with ne ..
HEADS (OF AGREEMENT) OR TAILS? 24 May 2013
If you’re thinking of joining in the flurry of portfolio sales in the financial services space, think carefully before signing a heads of agreement. Heads of agreements or terms sheets are commonly used by business brokers to confirm the broad intentions of buyer and seller and ensure they’ ..
BAD OR BANKRUPT – DON'T APPLY HERE. 21 May 2013
Past financial difficulties or being a director of a company that’s gone into liquidation or administration can create significant barriers to entry to business. Directors, partners, trustees and senior managers of ACL licensees must be ‘fit and proper people’. Responsible managers of AFS l ..
WHO PROVIDES THE ADVICE. 30 Apr 2013
Historically, financial planners have regarded individual advisers as the advice provider. But is this right? And what are the implications if it’s not? FSGs AFS licensees and CARs are required to provide an FSG to the client – individual employees are not. Only individual ARs who ser ..
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