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Showing 161 - 170 of 182 results for "Adviser Register"

Dover advisers turn orphans

JAMIE WILLIAMSON  |  FRIDAY, 6 JUL 2018
... will be without a licensee when the disgraced AFSL shutters today. Rainmaker analysis of ASIC's Financial Adviser Register demonstrates Dover shed 95 authorised representatives between 1 June and 1 July; 86 of which have been processed by ASIC has ...

MGP responds to Henderson's RC hearing

JAMIE WILLIAMSON  |  FRIDAY, 27 APR 2018
... education, Orr highlighted that the document purports Henderson to hold a Masters of Commerce. The ASIC Financial Adviser Register shows Henderson as having attained a Bachelor of Commerce in 2005 from the University of Western Sydney. "Was that correct ...

ASIC audits limited AFSLs

KARREN VERGARA  |  THURSDAY, 20 JUL 2017
... comply with their new obligations, and were confused about what information they needed to upload to the Financial Adviser Register (FAR). About half of the licensees had not updated the FAR with relevant adviser information, ASIC said, adding some licensees ...

SEC to run ad campaign promoting online consumer adviser checks

ALEX DUNNIN  |  FRIDAY, 4 MAR 2016
... launching an updated version of its consumer campaign to remind investors they can go to the SEC's financial adviser register to run a free check of any authorised adviser or broker. The campaign follows the SEC stepping up its involvement in the US ...

CBA publicly welcomes former staff bans

MARK SMITH  |  THURSDAY, 8 OCT 2015
... five years for engaging in misleading or deceptive conduct. CBA said these cases highlight the importance of the Adviser Register that was put in place by ASIC on 31 March 2015. The Adviser Register is designed to assist consumers to verify a financial ...

IFAs to benefit from ASIC SME focus

ALEX BURKE  |  FRIDAY, 17 JUL 2015
... suggested that ASIC could further expand its role in financial advice by providing a mobile version of its Financial Adviser Register to consumers.

Adviser Ratings provides planner endorsements

ALEX BURKE  |  THURSDAY, 16 JUL 2015
... endorse each other on the platform. The review service, which was recently revamped to make use of ASIC's Financial Adviser Register, added the planner endorsement feature following consumer feedback. As a result, advisers can now recommend their peers ...

Advisers should beware industry "frenemies"

ALEX BURKE  |  WEDNESDAY, 15 JUL 2015
... do, though, is start running too many things that are similar but not the same. "So, for example, we've got an adviser register under ASIC's control, which clients could conceivably use to find an adviser. What if we could work with ASIC and get them ...

David Koch joins forces with Adviser Ratings

ALEX BURKE  |  THURSDAY, 2 JUL 2015
... compare and review their financial advisers, and was recently revamped to make use of the data in ASIC's Financial Adviser Register, launched in March. As part of Koch's involvement in the platform, Adviser Ratings will expand into delivering educational ...

Industry meets behind closed doors to fix advice

LAURA MILLAN  |  WEDNESDAY, 29 APR 2015
... adopt "a pragmatic and consultative process" similar to the one that led to the implementation of a financial adviser register. Financial Services Council (FSC) director of policy Andrew Bragg said that the organisation feels "very optimistic that this ...