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Showing 111 - 120 of 160 results for "Financial Adviser Register"

Half of all AFSL applications approved

ELIZABETH MCARTHUR  |  MONDAY, 16 DEC 2019
... understand their obligations. Meanwhile, ASIC is also reminding AFSLs who have not yet updated the Financial Adviser Register that they need to add new details about their financial advisers by 1 January 2020. New information on advisers is required ...

Integration of super advice business completes

ELIZABETH MCARTHUR  |  WEDNESDAY, 11 DEC 2019
... integration of StatePlus into $77 billion industry fund First State Super is being tied up. The ASIC Financial Adviser Register showed hundreds of StatePlus financial advisers as 'ceased' earlier this week. This was an administrative action as StatePlus ...

Elders FP to shutter

JAMIE WILLIAMSON  |  TUESDAY, 10 DEC 2019
... phased wind down of its business," the spokesperson said. According to Rainmaker analysis of the ASIC Financial Adviser Register, Elders is currently home to 59 advisers. The advisers are expected to transition to other licensees, with most likely to ...

FASEA exam tips from those who passed

ELIZABETH MCARTHUR  |  THURSDAY, 28 NOV 2019
... an upcoming session, Glenfield explained that accounts for about one quarter of the advisers on ASIC Financial Adviser Register. Newton provided some practical insights for undertaking not only the exam but the ethics course. She shared that the assignments ...

Continued calls for code compliance extension

ELIZABETH MCARTHUR  |  THURSDAY, 21 NOV 2019
... financial planners were registered with a code monitoring body, and that registration was recorded on the financial adviser register before the end of the year." However, he said it's important to be clear compliance with the code will still be necessary ...

Advisers serious about licensee due diligence

JAMIE WILLIAMSON  |  WEDNESDAY, 20 NOV 2019
... periods to existing licensees and clients, the group said. According to Rainmaker analysis of the ASIC Financial Adviser Register, as at November 14, the dealer group is home to 71 financial advisers.

Three advisers cop ASIC bans

KANIKA SOOD  |  WEDNESDAY, 20 NOV 2019
... licence ceased. Prior to this, she spent seven years at National Australia Bank, according to ASIC's Financial Adviser Register. In an order made on November 8, ASIC banned Peter Jianchao Xu, who was most recently employed at Neo Wealth Solutions until ...

Former Apogee, GPS Wealth advisers banned

JAMIE WILLIAMSON  |  THURSDAY, 7 NOV 2019
... from 2015 to 2018. Prior to this he was licensed by ANZ and, before that, IOOF. According to the ASIC Financial Adviser Register, Khaw is a certified financial planner and member of the Financial Planning Association of Australia. Meanwhile, ASIC has ...

Adviser moves show industry upheaval

ELIZABETH MCARTHUR  |  TUESDAY, 5 NOV 2019
Rainmaker analysis of ASIC Financial Adviser Register data has revealed hundreds of movements across advice dealer groups in just the last three months. From July to October end, Commonwealth Financial Planning lost over 100 advisers, going from 568 ...

FASEA chief unaware of dwindling adviser numbers

JAMIE WILLIAMSON  |  FRIDAY, 1 NOV 2019
... Stoker followed up by citing figures that show thousands of financial advisers have dropped off the ASIC Financial Adviser Register since the beginning of this year. Rainmaker analysis of the ASIC FAR shows, as of yesterday, there is 25,330 advisers ...