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Showing 121 - 130 of 513 results for %22Financial Advisers Register%22

Count Financial adds two practices

KARREN VERGARA  |  WEDNESDAY, 9 JUN 2021
AMP and IOOF have each lost financial advice firms based in Adelaide to Count Financial. Adelaide Private Wealth, led by directors Hamish Zerbe, Ben Newbold and Mark Humpries, is a boutique financial advisory firm. It previously operated under AMP's ...

Former adviser hit with three-year ban

KARREN VERGARA  |  FRIDAY, 4 JUN 2021
... Administrative Appeals Tribunal to review ASIC's decision. His banning has been recorded on ASIC's Financial Advisers Register.

Adviser numbers fall below 20k

KARREN VERGARA  |  THURSDAY, 3 JUN 2021
The number of authorised financial advisers has officially dipped to 19,922, declining about 11% compared to this time last year. As at June 3, Rainmaker analysis of ASIC's Financial Adviser Register shows that there are currently 2144 active AFSLs. ...

Draft advice reforms not enough: FPA

JAMIE WILLIAMSON  |  WEDNESDAY, 19 MAY 2021
The Financial Planning Association of Australia used its submission on the single disciplinary body for financial advisers to renew calls to remove the Tax Practitioners Board as a regulator of the sector. While the association welcomed the plan to ...

ASIC bans Theta managing director

KARREN VERGARA  |  MONDAY, 17 MAY 2021
... compensation of amount of just $118,957.60 for the victims. Marie's banning is recorded on ASIC's Financial Advisers Register and the Banned and Disqualified Persons Register.

Low FASEA pass rate continues

ELIZABETH MCARTHUR  |  WEDNESDAY, 12 MAY 2021
... now passed the exam, representing 65% of the advisers on the ASIC Financial Adviser Register. All existing financial advisers must pass the FASEA exam by 2021 end to stay in the industry. Only 1182 advisers have had to re-sit the exam after failing once. ...

Former adviser cops eight-year ban

KARREN VERGARA  |  THURSDAY, 6 MAY 2021
... 2017, and ANZ between 19 September 2017 and 19 November 2018. She is no longer providing financial advice. "Financial advisers must act with honesty and integrity in their dealings with clients. ASIC may ban a financial adviser if it has reason to believe ...

Adviser software soft launches

KARREN VERGARA  |  WEDNESDAY, 5 MAY 2021
... financial planning software that is free of charge promises to alleviate the cost of advice. ProductRex helps financial advisers assess superannuation and investment product recommendations by comparing fees and asset allocation between platforms and ...

Macquarie finalises Waddell & Reed acquisition

KARREN VERGARA  |  TUESDAY, 4 MAY 2021
Macquarie Asset Management has completed the acquisition of NYSE-listed Waddell & Reed Financial. Overall, Macquarie paid $2.3 billion for Waddell & Reed Financial, an asset management and financial planning company based in Kansas, flagging the acquisition ...

FirstChoice dominates platform market

KARREN VERGARA  |  THURSDAY, 29 APR 2021
New research finds that Colonial's FirstChoice platform is the most popular among financial advisers across all states and territories. Rainmaker analysis of ASIC's March Financial Adviser Register reveals Colonial FirstChoice is the most-used ...