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Showing 121 - 130 of 200 results for "Signature"

Banned former CBA planner charged with forgery

MARK SMITH  |  TUESDAY, 17 MAY 2016
A banned former Commonwealth Financial Planning adviser has been charged for forging client documents. Following an ASIC investigation, Gold Coast man Ricky David Gillespie, 38, has appeared in the Southport Magistrates Court on one rolled-up charge ...

netwealth to grow IFA base, eyes app-savvy investors

MICHELLE BALTAZAR  |  FRIDAY, 6 MAY 2016
Just over a decade ago, netwealth was a platform start-up with $500 million in funds under administration. This year, the group surpassed the $8 billion mark and aim to win more IFAs through its tech-focused business model. At an annual client update ...

Back-office upgrade is front of mind for time-conscious advisers

MICHELLE BALTAZAR  |  WEDNESDAY, 2 MAR 2016
... Advisers can complete an SOA, open a netwealth application without re-keying information, and then send for a client's e-signature without the need to print anything. Matt Heine, joint managing director of netwealth, said this solves one of the most ...

ASIC hits ex-ANZ adviser with ban

ALEX BURKE  |  THURSDAY, 14 JAN 2016
ASIC has banned a former ANZ bank adviser for 10 years. According to ASIC's investigation, Ben Cheung engaged in misconduct between April 2013 and March 2014, during which he was an authorised ANZ representative. ASIC alleged that Cheung forged client ...

CBA publicly welcomes former staff bans

MARK SMITH  |  THURSDAY, 8 OCT 2015
The Commonwealth Bank has publicly welcomed the Australian Securities and Investment Commission's (ASIC) decision to ban former CFPL financial planners, Sharnie Kent and Stuart Jamieson. In a press release issued by the bank it said it reported concerns ...

New faces to lead financial services policy reform

LAURA MILLAN  |  MONDAY, 21 SEP 2015
... (FSC)'s acting chief executive Andrew Bragg said: "He set a very high benchmark for future Assistant Treasurers. His signature achievements were moving ahead with the export of funds management agenda, life insurance sustainability reform and moving ...

OPINION: Why ditching the monarchy makes sense in the Asian century

ANDREW BRAGG, DIRECTOR OF POLICY AT THE FINANCIAL SERVICES COUNCIL  |  MONDAY, 21 SEP 2015
... matters are discussed. There is a good example in the financial services industry. The Asia Region Funds Passport is a signature initiative of this region to create a mini free trade agreement for managed funds initially between Australia, New Zealand ...

ASIC bans former NAB-aligned adviser

ALEX BURKE  |  THURSDAY, 17 SEP 2015
ASIC has banned a former adviser from Meritum Financial Group, which is wholly owned by NAB. Alfie Chong worked at Meritum from September 2005 to March 2006, and then July 2007 to June 2014. During that time, ASIC has alleged that Chong engaged in a ...

Westpac insurance adviser gets permanent ban

LAURA MILLAN  |  THURSDAY, 13 AUG 2015
A Westpac financial planner has been permanently banned for submitting false insurance policy proposals to the bank to obtain benefits for himself. Victoria-based adviser Martin Hodgetts submitted nine false insurance policies between May and September ...

Macquarie adviser forged signatures, lied to clients

LAURA MILLAN  |  FRIDAY, 7 AUG 2015
... falsely indicated he had received execution instructions from clients prior to trading when he had not. He also forged the signature of a client he had never met in person and created an order sheet which falsely stated that 14 clients called him on ...