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Showing 141 - 150 of 251 results for "Financial Services Law"

Superannuation, insurance expert joins EY

KARREN VERGARA  |  FRIDAY, 29 MAR 2019
... insurance specialist has joined Ernst & Young as a partner. Lisa-Marie McKechnie was appointed partner of the financial services law division after spending nine years at law firm Mills Oakley, where some of clients included Hostplus, QSuper and First ...

Morgans Financial licence conditions lifted

ELIZABETH MCARTHUR  |  MONDAY, 25 MAR 2019
A full-service stockbroking and wealth management firm with over 60,000 active clients has had additional licence conditions lifted. Morgans Financial had the conditions imposed in November 2016. ASIC has now removed the conditions as at March 19. The ...

Former ASFA chair sees new EQT role

HARRISON WORLEY  |  MONDAY, 4 MAR 2019
... outstanding credentials for this appointment, as a lawyer who practices in superannuation, investments and financial services law, with specific experience in the unique area of superannuation trusteeship and more than 25 years' experience at executive ...

ASIC appeals Westpac Federal Court decision

JAMIE WILLIAMSON  |  MONDAY, 18 FEB 2019
The corporate regulator is appealing last year's landmark Federal Court decision, determined to prove two Westpac subsidiaries provided personal financial advice despite not being licensed to do so. In December 2018, Justice Jacqueline Gleeson determined ...

AFSL reference checking protocols required

JAMIE WILLIAMSON  |  MONDAY, 4 FEB 2019
Financial advice licensees are not doing enough to communicate the background of advisers. As such, compliance with the Australian Banking Association's reference checking protocols should be mandatory for all advice licensees, the Royal Commission ...

ASIC bans former NAB, CBA advisers

JAMIE WILLIAMSON  |  THURSDAY, 24 JAN 2019
... continued while he was licensed by Interprac from August 2015. ASIC determined Nguyen was likely to contravene financial services law again. According to ASIC's Financial Adviser Register, Nguyen ceased as an adviser and as a representative of Interprac ...

New initiatives ready advisers for the future

JAMIE WILLIAMSON  |  WEDNESDAY, 5 DEC 2018
... to the shifting landscape," knowITdigital chief executive Wayne Wilson said. The first partnership, with financial services law firm Holley Nethercote, will provide advice businesses with access to a range of compliance services and training, specifically ...

ASIC takes Dover, McMaster to court

JAMIE WILLIAMSON  |  MONDAY, 17 SEP 2018
... negligent, inappropriate or not in a client's best interests. This is inconsistent with or voided by the financial services law in the Corporations Act," ASIC said. READ - Life after Dover: Dealer groups lift due diligence ASIC alleges the policy ...

Former Mercer director joins MGP

JAMIE WILLIAMSON  |  MONDAY, 3 SEP 2018
... of significant change for the financial services industry," Sharp said. "Pamela's deep expertise in financial services law, governance and industry regulation will be a critical asset to our business." McAlister's counsel and input will be crucial ...

ASIC issues permanent ban for theft

JAMIE WILLIAMSON  |  THURSDAY, 9 AUG 2018
... while Jarman was insurance manager at Albury Insurances. ASIC determined Jarman had failed to comply with financial services law, saying he is likely to contravene the law again in future. The regulator also decided that Jarman is not of good fame or ...