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Showing 91 - 100 of 100+ results for "Financial Adviser Register"

Existing but unregistered advisers at risk

JAMIE WILLIAMSON  |  THURSDAY, 2 AUG 2018
Existing financial advisers that don't appear on ASIC's Financial Adviser Register will be forced to complete the new exam by 1 January 2019 if they don't register soon. In new guidance issued by the regulator, only those advisers listed on ASIC's FAR ...

Pressure mounts on regional advice

JAMIE WILLIAMSON  |  MONDAY, 23 JUL 2018
... being further undermined as the fallout from the Royal Commission continues. An analysis of the ASIC Financial Adviser Register (FAR) shows 4700 financial advisers are operating outside of Australia's capital cities. This number represents about ...

Advisers demand self-licensing regime: Poll

KARREN VERGARA  |  MONDAY, 16 JUL 2018
... data shows hundreds of advisers will still be without a licensee. Rainmaker analysis of ASIC's Financial Adviser Register demonstrates Dover shed 95 authorised representatives between June 1 and July 1; 86 of which have been processed by ASIC as ...

Dover advisers turn orphans

JAMIE WILLIAMSON  |  FRIDAY, 6 JUL 2018
... will be without a licensee when the disgraced AFSL shutters today. Rainmaker analysis of ASIC's Financial Adviser Register demonstrates Dover shed 95 authorised representatives between 1 June and 1 July; 86 of which have been processed by ASIC has ...

MGP responds to Henderson's RC hearing

JAMIE WILLIAMSON  |  FRIDAY, 27 APR 2018
... education, Orr highlighted that the document purports Henderson to hold a Masters of Commerce. The ASIC Financial Adviser Register shows Henderson as having attained a Bachelor of Commerce in 2005 from the University of Western Sydney. "Was that correct ...

ASIC audits limited AFSLs

KARREN VERGARA  |  THURSDAY, 20 JUL 2017
... comply with their new obligations, and were confused about what information they needed to upload to the Financial Adviser Register (FAR). About half of the licensees had not updated the FAR with relevant adviser information, ASIC said, adding some licensees ...

SEC to run ad campaign promoting online consumer adviser checks

ALEX DUNNIN  |  FRIDAY, 4 MAR 2016
... launching an updated version of its consumer campaign to remind investors they can go to the SEC's financial adviser register to run a free check of any authorised adviser or broker. The campaign follows the SEC stepping up its involvement in the US ...

IFAs to benefit from ASIC SME focus

ALEX BURKE  |  FRIDAY, 17 JUL 2015
... suggested that ASIC could further expand its role in financial advice by providing a mobile version of its Financial Adviser Register to consumers.

Adviser Ratings provides planner endorsements

ALEX BURKE  |  THURSDAY, 16 JUL 2015
... endorse each other on the platform. The review service, which was recently revamped to make use of ASIC's Financial Adviser Register, added the planner endorsement feature following consumer feedback. As a result, advisers can now recommend their peers ...

David Koch joins forces with Adviser Ratings

ALEX BURKE  |  THURSDAY, 2 JUL 2015
... compare and review their financial advisers, and was recently revamped to make use of the data in ASIC's Financial Adviser Register, launched in March. As part of Koch's involvement in the platform, Adviser Ratings will expand into delivering educational ...