Search Results | Showing 1 - 10 of 20 results for "FSCP" |
| | ... banned/disqualification, enforceable undertaking, disqualified person, credit banned/disqualification, Financial Services Credit Panel (FSCP) action, and SMSF auditor disqualification. The advice sector continues to consolidate. AZ NGA-backed advice ... |
| | | The Financial Services and Credit Panel (FSCP) made another registration prohibition order against a financial adviser who tried to recommend an SMSF and investment products that were not suitable to a client. Melbourne-based Stephen Rogers, a representative ... |
| | | The Financial Services and Credit Panel (FSCP) has slapped a financial adviser with a "registration prohibition order" for being insolvent under administration. Timothy Leslie Anderson's registration as a relevant provider has been revoked from ... |
| | | ... amount of life cover could not be transferred without further underwriting, he did not revisit the advice he provided, the FSCP said. Mr. K, instead, recommended in a Record of Advice (ROA) that the clients apportion their cover between the new and existing ... |
| | | ... who carelessly recommended a client switch superannuation funds. Releasing its second determination since it launched, the FSCP said the unnamed adviser, only referred to as "Mr. M", recommended that a client move to a new superannuation fund after being ... |
| | | ... client's benefit. "The relevant provider did not obtain any benefit as a result of the telephone conversations," the FSCP said. The panel said Mr. S contravened the Corporations Act by engaging in misleading or deceptive conduct and breaching the ... |
| | | Appearing at the FPA Congress today, ASIC senior executive leader Leah Sciacca explained that all financial advisers will need to register with the ASIC Financial Services and Credit Panel, in addition to being registered on the Financial Advisers Register. ... |
| | | ... with their new registration obligations and facilitate the registration of relevant providers. "We will operationalise the FSCP, ensuring its efficient and effective operation as the single disciplinary body for financial advisers," it said. It also ... |
| | | ... financial advisers who are subject to a hearing or disciplinary measure. In December, ASIC outlined the operations of the FSCP and what powers it has been afforded. In an update, ASIC has now provided further detail as to what instances may lead to a ... |
| | | ... Panel, the corporate regulator seeks comments on the financial impact, effect of competition, and other costs and benefits the FSCP will have on industry participants. Specifically, ASIC wants to determine when to convene the FSCP's sitting panel. ... |
|