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Showing 121 - 130 of 197 results for "Signature"

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 ...

PROFILE: IOOF managing director Chris Kelaher

LAURA MILLAN  |  WEDNESDAY, 3 JUN 2015
... from being a very clever acquirer to a significant organic grower," he explains. Kelaher is coy when talking about his signature M&A technique, and equally shy when it comes to his personal life. He says that work hasn't left him with much time for anything ...

Super governance at centre stage

ANDREW BRAGG, FSC DIRECTOR OF POLICY AND GLOBAL MARKETS  |  WEDNESDAY, 11 MAR 2015
... governance settings of our retirement system and the level of competition be a top priority? As superannuation is the signature public policy tool for managing our nation's deteriorating demographic profile, it must be properly calibrated to meet its ...

What becomes of the broken hearted?

TREVOR HARRIS  |  FRIDAY, 6 MAR 2015
... dissolves the husband has no rights with respect to that policy. He cannot transfer policy ownership without his ex-wife's signature, nor can he cancel the policy, change a nominated beneficiary, or even make enquiries in relation to the policy's status ...