Sean Graham

Jul 30, 2024 | idc.com | Louisa Barker |Amy Cravens |Joe Dignan |Sean Graham |Katharina Grimme |Vladimir Kroa | +2 more

When you purchase this document, the purchase price can be applied to the cost of an annual subscription, giving you access to more research for your investment.

Jul 18, 2024 | fsadvice.com.au | Sean Graham

Under Australian financial services laws, Australian Financial Services (AFS) Licensees and financial advisers face stringent compliance obligations regarding the collection, use, and protection of personal information. Failure to comply can result in significant penalties of up to $2.22 million. Building client trust through responsible data practices is crucial in this industry. Participants need to understand the scope and application of the Australian Privacy Principles.

Feb 29, 2024 | fsadvice.com.au | Sean Graham

We recently learnt that 98% of the new advice licensees that commenced operation in 2023 were 'micro-licensees'-that is, licensees with fewer than ten advisers. Despite the media attention, this is not a new trend. In fact, it is the inevitable, and desirable, response to conflicted industrialised advice models and vertically integrated businesses.

Dec 6, 2023 | idc.com | Dave McCarthy |Courtney Munroe |Michelle Abraham |Sean Graham

When you purchase this document, the purchase price can be applied to the cost of an annual subscription, giving you access to more research for your investment.

Aug 17, 2023 | fsadvice.com.au | Sean Graham

Being a Responsible Manager is not easy. As the industry continues to grow and adapt, it is crucial for managers to stay informed and make informed decisions that benefit their licensee and satisfy regulators and stakeholders. In this article, we offer ten tips to help Responsible Managers thrive in a frequently changing, and largely unexplored, regulatory environment. 1.