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Showing 151 - 160 of 256 results for "Financial Services Law"

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 ...

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 ...

Sydney asset manager hires director

KANIKA SOOD  |  TUESDAY, 10 JUL 2018
... be taken by Michael Adams who brings law expertise to the board. Adams is a director with Sydney-based financial services law firm Barnett Law. He has worked for high-net-worth clients, listed and unlisted corporate entities and banks and financial institutions. ...

Dover AFSL cancelled, McMaster exits industry

JAMIE WILLIAMSON  |  FRIDAY, 29 JUN 2018
... bad advice. ASIC also found that the terms conflicted with the obligations of an AFSL holder under the financial services law regarding client complaints and claims. ASIC was also concerned that Dover lacked the organisational competency required of ...

ASIC takes civil action against AMP

HARRISON WORLEY  |  WEDNESDAY, 27 JUN 2018
The corporate regulator has commenced Federal Court proceedings against AMP Financial Planning (AMPFP), alleging the division of the recently scrutinised mutual failed to ensure its authorised financial planners complied with the best interests duty ...

Global regulation hub launched for asset managers

JAMIE WILLIAMSON  |  WEDNESDAY, 27 JUN 2018
... up-to-date legal and regulatory requirements for distributing funds across jurisdictions. Tech-driven, financial services law firm Zeidler Legal Services has launched the Global Knowledge Hub; an online subscription service for asset managers looking ...