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Showing 91 - 100 of 126 results for "Counsel Assisting"

Royal Commission grills professional associations

KARREN VERGARA  |  THURSDAY, 26 APR 2018
... wrote a formal complaint to the FPA in March 2017, which until today has not been resolved, De Gori told Senior Counsel Assisting Rowena Orr. He couldn't confirm precisely when it will be resolved other than it was "imminent." Henderson left the FPA ...

High profile adviser under fire

JAMIE WILLIAMSON  |  THURSDAY, 26 APR 2018
... Financial Planning Association of Australia which, almost 12 months later, is yet to be resolved. Asked by Senior Counsel Assisting Rowena Orr why she chose to share her story with the Royal Commission, McKenna said: "As a semi-public person I considered ...

Royal Commission singles out 325 NAB staff cutting corners

ALEX BURKE  |  TUESDAY, 24 APR 2018
... Meyn's conduct a serious compliance concern in ASIC's view. Hagger disagreed with this finding and told Senior Counsel Assisting Rowena Orr that he notified Haworth-Booth of this at the time, but that this "confusion" stemmed out of a limited understanding ...

AMP kept unsuspecting clients in the dark: RC

KARREN VERGARA  |  TUESDAY, 24 APR 2018
... advice from Mr E in November 2016, an authorised representative of AMP Financial Planning, Britt told Senior Counsel Assisting Rowena Orr. Mr E advised the husband to rollover the balances of his TAL and MLC MasterKey superannuation accounts to AMP's ...

ANZ blames systems for inadequate controls: RC

KARREN VERGARA  |  MONDAY, 23 APR 2018
... dealer groups, there's greater diversity and variability in practices and processes, she said. Rixon told Senior Counsel Assisting Rowena Orr that uniformity across ANZ's entire advice network should have been a priority because this not only provides ...

ANZ dragged its heels on adviser misconduct

ALEX BURKE  |  FRIDAY, 20 APR 2018
... Darren Whereat discussed the case study of former RI Advice authorised representative John Doyle with Senior Counsel Assisting Rowena Orr. Despite Whereat attending a meeting in August 2015 and suspending Doyle eight days later - along with commencing ...

Westpac obscured bad adviser reference check

KARREN VERGARA  |  FRIDAY, 20 APR 2018
... the same NAB hybrid securities on the same day. BT Financial Advice general manager Michael Wright told Senior Counsel Assisting Rowena Orr that recommending clients invest in the securities without considering if it was appropriate for their individual ...

RECAP: Advice in the Royal Commission spotlight (Day 4 and 5)

KANIKA SOOD  |  FRIDAY, 20 APR 2018
... years, Wright said. Ironically, Wright's LinkedIn profile describes himself as a "sales professional", Senior Counsel Assisting Rowena Orr pointed out. Wright said he personally wants the industry to move to a fee for service model - like AMP's Anthony ...

ROYAL COMMISSION: Top stories

JAMIE WILLIAMSON  |  FRIDAY, 20 APR 2018
... between 1 January 2008 and 30 June 2015. In opening the Royal Commission's inquiry into financial advice, Senior Counsel Assisting Rowena Orr provided a summary of the three submissions made by AMP and related entities. AMP acknowledged it has engaged ...

RC questions adviser sales tactics

KARREN VERGARA  |  FRIDAY, 20 APR 2018
... industry and that the profession is far from earning the public's trust. "We haven't earnt it yet," he told Senior Counsel Assisting Rowena Orr. Ironically, Orr pointed out that Wright's LinkedIn profile describes himself as a "sales professional." The ...