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Showing 151 - 160 of 600 results for "Authorised Representative"

Centrepoint names chief executive

KARREN VERGARA  |  WEDNESDAY, 4 AUG 2021
A former BT Financial Group executive will take the reins of Centrepoint Alliance from today. John Shuttleworth is the new chief executive of the ASX-listed firm, taking the place of Angus Benbow who left the industry in May. Shuttleworth held several ...

Former Millennium3 representatives cop ban

KARREN VERGARA  |  TUESDAY, 3 AUG 2021
Two directors of North Coast Financial Services, a former authorised representative of Millennium3, have copped a ban from the corporate regulator. Timothy William Parry and Damian Garnet Price are forbidden to control a financial services business ...

Financial Masterplan advisers banned

ANNABELLE DICKSON  |  TUESDAY, 3 AUG 2021
... June 2016 until 25 May 2021 and were involved in the activities of Vision Wealth Group, a corporate authorised representative of Financial Masterplan. Vision Wealth established a website to attract clients by helping them find their lost super through ...

RI Advice failed oversight obligations: Court

KARREN VERGARA  |  MONDAY, 2 AUG 2021
... obligations by giving inappropriate advice and failing to put his clients' interests first. Doyle was an authorised representative of RI Advice between May 2013 and June 2016, when it was owned by ANZ Banking Group. RI Advice is now owned by IOOF ...

Super, ASIC beneficiaries of advice challenges: Hearing

JAMIE WILLIAMSON  |  FRIDAY, 30 JUL 2021
Yesterday's Standing Committee hearings on financial advice suggested the corporate regulator and industry superannuation funds are the only ones benefiting from increasing costs. Appearing before the Standing Committee on Economics on Thursday ...

ASIC bans adviser, cancels AFSL

ANNABELLE DICKSON  |  THURSDAY, 22 JUL 2021
... Coast-based adviser for five years and cancelled the group's AFS licence over misconduct. Adam Bevan was an authorised representative and sole director of Trade Wind Financial Services. ASIC banned Bevan after he failed to act in the best interests of ...

Former Hillross adviser pleads guilty

ELIZABETH MCARTHUR  |  TUESDAY, 13 JUL 2021
Wael Kourieh, who was an authorised representative of Hillross between 2010 and 2016, has plead guilty to false document charges following an ASIC investigation. Kourieh pleaded guilty to one count of making false documents and one count of using false ...

Adviser slapped with four-year ban

KARREN VERGARA  |  MONDAY, 28 JUN 2021
... adviser since 2009, representing several AFS licensees. The misconduct occurred during the time she was an authorised representative of Meritum (February 2012 to February 2017) and InterPrac. Jennings was the sole director and financial adviser of FF ...

Better Advice regulations hit parliament

KARREN VERGARA  |  FRIDAY, 25 JUN 2021
... (financial) advice proposals. Under the bill, the TPB still has the responsibility for the Corporate Authorised Representative (CARs) and AFSL registrations, meaning compliance with TPB regulations is still required. "The current drafting does not meet ...

Licensee to acquire Sentry Group

KARREN VERGARA  |  TUESDAY, 15 JUN 2021
An ASX-listed financial services firm will acquire Sentry Group for $7 million and add 155 authorised representatives to its books. WT Financial Group (WTL) announced today that upon completing the takeover, it will have some 275 financial advisers ...