SME

Ethics and education are important, but compliance is the biggest weakness in the advice industry

Proposed changes to licensee remediation programs flagged by ASIC early in 2016 will have major effects on many dealer groups’ already overstretched compliance teams, according to a leading advice industry consultant. In an interview with financialobserver, Reddacliff Consulting principal Tom Reddacliff said the corporate regulator’s proposal that licensees be...

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Driving better consumer outcomes in financial advice

Adopting better self-regulation was the key to improving trust and driving better consumer outcomes in financial advice, according to one industry veteran and consultant. Speaking to financialobserver, Tom Reddacliff, a former FPA general manager and now executive director at compliance firm Frisk Retrieval, said only a complete overhaul of...

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What is actually in the best interests of advisers?

From Tom Reddacliff, former general manager of the FPA and executive director at Frisk Retrieval. I have read with interest recent comments from the Association of Independently Owned Financial Professionals (AIOFP) and the Life Insurance Customer Group (LICG) that the FPA and the Association of Financial Advisers (AFA) don’t...

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180 Flinders St ADELAIDE SA 5000
PO Box 879, UNLEY BC SA 5061

Phone: 1300 43 33 11
Email: mail@frisk.com.au

180 Flinders St ADELAIDE SA 5000
PO Box 879, UNLEY BC SA 5061

p: 1300 43 33 11
e: mail@frisk.com.au

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