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Showing 121 - 130 of 600 results for "Authorised Representative"

Yarra Capital appoints institutional, intermediary leads

JAMIE WILLIAMSON  |  TUESDAY, 2 AUG 2022
... business development at Citi. He also has experience as a financial adviser, having spent seven years as an authorised representative of Associated Planners Group. In their new roles both Green and Hacopian will continue to report to managing director ...

Victorian AR charged with providing unlicensed advice

CASSANDRA BALDINI  |  WEDNESDAY, 13 JUL 2022
Former authorised representative Nizi Bhandari has been charged with engaging in dishonest conduct and providing unlicensed personal financial product advice. Between November 2017 and December 2020, Bhandari was an AR of The Australian Dealer Group ...

Equity Story plans to throw finfluencers a lifeline

CASSANDRA BALDINI  |  MONDAY, 11 JUL 2022
... "general financial advice" and commence providing stock tips to subscribers and readers. Now, as an authorised representative of Equity Story's AFSL, Walker can continue to provide his existing commentary and can now add general advice recommendations ...

ASIC takes Lanterne Fund Services to court

ANDREW MCKEAN  |  THURSDAY, 7 JUL 2022
ASIC has issued civil penalty proceedings against wholesale licensee Lanterne Fund Services, saying it operated with almost no compliance staff or risk management processes. The regulator alleges that Lanterne has on multiple occasions failed to meet ...

CountPlus takes stake in WSC Group

ANDREW MCKEAN  |  TUESDAY, 5 JUL 2022
CountPlus has acquired a 32.75% interest in financial advice practice WSC Group. WSC Group will be authorised by Count Financial as part of the transaction, adding an additional three authorised representatives to the CountPlus-owned licensee. WSC Group ...

ASIC bans Melbourne adviser

CHLOE WALKER  |  FRIDAY, 1 JUL 2022
... could have met the clients' needs. The consulting practice, owned and operated by Ruthenberg, was an authorised representative of The FinancialLink Group Pty Ltd (TFLG) at the time of the alleged misconduct. In August last year, Ruthenberg lodged an ...

Adviser associations to merge

CASSANDRA BALDINI  |  THURSDAY, 30 JUN 2022
Members of the Authorised Representatives Association (ARA), have voted to close the 40-year-old association and merge with The Advisers Association (TAA). ARA represents around 90 Charter Financial Planning businesses and approximately 250 advisers. ...

Former adviser charged over faked books

CHLOE WALKER  |  TUESDAY, 28 JUN 2022
... altered documents relating to two of his clients, to look like he was compliant with his obligations as an authorised representative. In 2019, Nguyen was permanently banned by ASIC for his dishonest conduct with the regulator saying he is likely to contravene ...

ASIC bans financial adviser for five years

ANDREW MCKEAN  |  FRIDAY, 20 MAY 2022
... his company held an Australian financial services (AFS) licence. For part of that period, Guan was an authorised representative of an AFS licensee but his authorisation didn't permit him to trade shares on, or operate, managed discretionary accounts ...

Former adviser sentenced over dishonesty

JAMIE WILLIAMSON  |  TUESDAY, 17 MAY 2022
... the fabricated evidence. This conduct occurred between August and October 2017. At the time, he was an authorised representative of Libertas Financial Planning. Nesseim was accused of providing three forged wholesale client certificates to ASIC "in an ...