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Showing 141 - 150 of 542 results for "Ethics"

NZ looks to recognise qualified Aussie advisers

KARREN VERGARA  |  WEDNESDAY, 28 OCT 2020
... year of supervised work and training (for new advisers), continuing professional development and compliance with a code of ethics. The FMA is holding consultations until November 20.

Remote exams offered to Melbourne advisers

KARREN VERGARA  |  FRIDAY, 23 OCT 2020
The Financial Adviser Standards and Ethics Authority is providing remote-sitting options for financial advisers in Melbourne affected by COVID-19 restrictions. Financial advisers sitting the November exam will be affected. FASEA advised those who registered ...

Cost of advice soars as red tape grows

ELIZA BAVIN  |  WEDNESDAY, 21 OCT 2020
... disciplinary body should set a single minimum entry requirement (education, experience and mentoring), a single mandatory code of ethics and other regulatory standards and be the sole investigator of potential breaches of those standards. "This will ...

RIAA, AXA IM launch adviser ESG guide

ANNABELLE DICKSON  |  THURSDAY, 15 OCT 2020
... their knowledge to provide the best advice to clients. "The regulation of advice is also catching up. The new FASEA Code of Ethics requires advisers to consider the broader long-term interests of their clients, arguably requiring advisers to consider ...

FASEA releases more Code of Ethics guidance

ELIZABETH MCARTHUR  |  TUESDAY, 6 OCT 2020
FASEA has released a draft Financial Planners & Advisers Code of Ethics 2019 Guide for consultation. The draft is intended to provide an explanation of the application of the code. "The Code of Ethics provides an ethical framework of values and standards ...

82% of advisers pass August FASEA exam

ELIZABETH MCARTHUR  |  THURSDAY, 1 OCT 2020
... advisers have sat the exam with nine in 10 demonstrating they have the skills to apply their knowledge of advice construction, ethics and legal requirements to the practical scenarios tested in the exam." FASEA said advisers underperformed in a few areas ...

MLC Life restructures, appoints lead

JAMIE WILLIAMSON  |  WEDNESDAY, 23 SEP 2020
... administration systems Fiona Guscott has been named general manager, underwriting and operations, while executive lead, ethics and emerging risk Angela McLaughlin is now general manager product, pricing and proposition (retail) and Craig Harrison holds ...

ASIC puts SMSF auditors on notice

ANNABELLE DICKSON  |  MONDAY, 21 SEP 2020
... related parties. As a result, the corporate regulator requires both Krammer and Wong to undertake additional SMSF audit and ethics training, sit and pass the SMSF auditor competency exam and advise their professional bodies of the additional conditions. ...

VFMC director nabs global role

ALLY SELBY  |  TUESDAY, 15 SEP 2020
... CFA Institute to continue its mission to lead the investment profession globally by promoting the highest standards of ethics, education and professional excellence. "I'm also humbled to assume this new role as the first board chair of Latin American ...

Former analyst gets three year sentence

KANIKA SOOD  |  MONDAY, 14 SEP 2020
... in Big Un." "In February 2018, Maple-Brown Abbott became aware that employee Michael Ho had breached the firm's Code of Ethics. As a result, Mr Ho immediately left the firm." "Maple-Brown Abbott seeks to uphold very high standards which are reflected ...