Search ResultsShowing 1 - 8 of 8 results for "Reference Checking"
AFA can contribute to draining the swamp: George
JAMIE WILLIAMSON  |  MONDAY, 16 OCT 2017
The chief executive of ANZ Wealth has called on the Association of Financial Advisers to contribute to mandatory reference checking of advisers that frequently change licensee.
FSU calls out NAB for lack of standards
JAMIE WILLIAMSON  |  TUESDAY, 20 JUN 2017
Any compliance breaches made by NAB Financial Planning around the incorrect witnessing of Beneficiary Nomination forms prior to 31 May 2017 should not be included in the new conduct background check protocol.
Westpac to review history of new applicants
JAMIE WILLIAMSON  |  FRIDAY, 9 JUN 2017
Following yesterday's news of another former Westpac adviser being banned by ASIC, the bank has announced that anybody applying for a permanent role with the Westpac Group will now be subjected to a background check.
Major ASIC project finds serious financial advice concerns
ALEX BURKE  |  FRIDAY, 17 MAR 2017
ASIC has released a report on how large financial advice firms have addressed serious conduct, compliance and customer remediation issues, revealing serious concerns about how the industry has operated over the past five years.
Open data would protect advice industry: Adviser Ratings
JAMIE WILLIAMSON  |  FRIDAY, 24 FEB 2017
ASIC should take a leaf out of the US' Financial Industry Regulatory Authority's book and introduce more detailed and transparent historical data around the conduct of financial advisers.
"Bad apples" slipping through the cracks: ASIC
BEN COLLINS  |  THURSDAY, 26 JUL 2012
The corporate regulator has put licensees on notice, saying there is growing concern that "bad apples" in the industry are slipping through the cracks because of poor reference checking when advisers swap between groups.
Tweeting won't get you jobs
RUTH LIEW  |  MONDAY, 25 MAY 2009
More than 80 per cent of Australian jobseekers, including those in financial services, dismiss social networking as a way to find out about new jobs.
ASIC calls for tighter employment checks
CHRIS NICHOLLS  |  FRIDAY, 12 OCT 2007
The Australian Securities and Investments Commission (ASIC) and Standards Australia have launched a new handbook to give employers a reference-checking framework for financial advisers.
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