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Showing 161 - 170 of 600 results for "Authorised Representative"

Interprac grows advice network

KARREN VERGARA  |  THURSDAY, 10 JUN 2021
... has been banned by ASIC from providing financial advice for five years. ASIC found that he was not an authorised representative of FF Planning Solutions but still gave unlicensed advice to some clients.

Former adviser charged with $3.3m fraud

KARREN VERGARA  |  THURSDAY, 27 MAY 2021
... deception. The 42-year-old from Artarmon allegedly defrauded clients between May 2017 and March 2020 as an authorised representative of Sentinel. The police kicked off investigations in March 2020, when the North Shore Police Area Command received reports ...

Draft advice reforms not enough: FPA

JAMIE WILLIAMSON  |  WEDNESDAY, 19 MAY 2021
The Financial Planning Association of Australia used its submission on the single disciplinary body for financial advisers to renew calls to remove the Tax Practitioners Board as a regulator of the sector. While the association welcomed the plan to ...

ASIC to wind up PE Capital

ELIZABETH MCARTHUR  |  FRIDAY, 14 MAY 2021
... valid authorisation from an AFSL holder. The claim says PE Capital held itself out as being a corporate authorised representative with the authority to issue information memorandums for unregistered schemes and special purpose vehicle trusts. On top ...

Centrepoint Alliance hires from Morningstar

ELIZABETH MCARTHUR  |  FRIDAY, 7 MAY 2021
Centrepoint Alliance has appointed a head of business and operations for its recently acquired advice software arm Enzumo. Farisha Cabrera will step into the position. She was most recently senior product manager for financial planning at Morningstar. ...

AZ NGA acquires two advice practices

KARREN VERGARA  |  WEDNESDAY, 5 MAY 2021
... Blue Harbour, which was part of Bridges Financial Services, rebranded in late April when it became an authorised representative of Fortnum Advice. Fortnum has some 230 advisers and $16 billion funds under management. Based in Cleveland, Blue Harbour ...

Adviser faced with further dishonesty charges

ANNABELLE DICKSON  |  MONDAY, 3 MAY 2021
... on hardship grounds and kept part of the funds as a fee before releasing it to his client. Goel, an authorised representative of Australian Financial Directions, committed the alleged offences under his business AR Wealth and Finance. Prior, Goel was ...

Former Australian Unity adviser banned

JAMIE WILLIAMSON  |  THURSDAY, 29 APR 2021
A former authorised representative of Australian Unity Personal Financial Services was handed a five-year ban for telling clients MySuper options are more expensive and to opt out of the products. Christopher Chan will serve a five-year ban for writing ...

Dealer group offers new fee structure

ELIZABETH MCARTHUR  |  TUESDAY, 27 APR 2021
... Alliance has launched a new flexible fee model, available to financial advice firms with more than one authorised representative. For advisers working part-time, variable costs including governance and research queries, along with technical and compliance ...

Advisers to go forth with claims handling

ANNABELLE DICKSON  |  MONDAY, 26 APR 2021
The Association of Financial Advisers (AFA) has welcomed the government's regulation that will exempt advisers from varying their AFSL to provide claims handling, following a submission outlining issues. The government passed Financial Sector Reform ...