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Showing 151 - 160 of 182 results for "Adviser Register"

Code of ethics still the main game: FPA

DARREN SNYDER | MONDAY, 19 NOV 2018

... public address. The FPA's head of policy and standards also briefly spoke about some updates to the ASIC Financial Adviser Register (FAR), which were meant to come into effect from January but have been delayed until next November. He also spoke about ...

More than half of advisers without association membership

JAMIE WILLIAMSON | THURSDAY, 8 NOV 2018

... suggesting a further 12,489 advisers may not be a current member of any professional body. According to the Financial Adviser Register, 8105 advisers identify as members of the Financial Planning Association of Australia - almost three and a half times ...

ASIC delays adviser reporting deadlines

KARREN VERGARA | THURSDAY, 11 OCT 2018

... advisers. On 1 August 2018, ASIC announced existing financial advisers that don't appear on its Financial Adviser Register (FAR) will be forced to complete the new exam by 1 January 2019 if they don't register soon. ASIC's guidance said only ...

ASIC bans Spectrum Wealth adviser

KARREN VERGARA | WEDNESDAY, 10 OCT 2018

... or inadequately trained in providing financial services. His banning will be recorded on ASIC's Financial Adviser Register. His ban is a result of ASIC's Life Insurance Lapse Data Project (LILD Project), under which the corporate regulator receives ...

Dealer groups lift due diligence post Dover

JAMIE WILLIAMSON | MONDAY, 17 SEP 2018

... licensing arrangements. Hundreds were successful in doing so before the July 6 deadline, but latest ASIC Financial Adviser Register data shows more than 100 financial advisers are still without an AFSL or have left the industry. Of the 394 Dover advisers ...

ASIC staff to investigate institutions from the inside

JAMIE WILLIAMSON | TUESDAY, 7 AUG 2018

... known as regtech. The balance will be directed towards improving consumer access to the ASIC's Financial Adviser Register and ensuring compliance by licensees and advisers with the Future of Financial Advice laws. In a joint statement, Treasurer ...

Existing but unregistered advisers at risk

JAMIE WILLIAMSON | THURSDAY, 2 AUG 2018

Existing financial advisers that don't appear on ASIC's Financial Adviser Register will be forced to complete the new exam by 1 January 2019 if they don't register soon. In new guidance issued by the regulator, only those advisers listed on ASIC's FAR ...

Pressure mounts on regional advice

JAMIE WILLIAMSON | MONDAY, 23 JUL 2018

... being further undermined as the fallout from the Royal Commission continues. An analysis of the ASIC Financial Adviser Register (FAR) shows 4700 financial advisers are operating outside of Australia's capital cities. This number represents about ...

ASIC bans Queensland adviser, suspends licence

KANIKA SOOD | FRIDAY, 20 JUL 2018

ASIC has put a four-year ban on a Queensland adviser for failing to act in his clients' best interests while providing advice on self-managed superannuation funds. James Cribb allegedly advised in a manner that was likely to benefit his own SMSF administration ...

Advisers demand self-licensing regime: Poll

KARREN VERGARA | MONDAY, 16 JUL 2018

... data shows hundreds of advisers will still be without a licensee. Rainmaker analysis of ASIC's Financial Adviser Register demonstrates Dover shed 95 authorised representatives between June 1 and July 1; 86 of which have been processed by ASIC as ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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