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Showing 171 - 180 of 540 results for "ethics"

Compliance worse than COVID-19

ALLY SELBY  |  THURSDAY, 23 APR 2020
... there was a consensus that more was to come. In the last few years, advisers had faced FoFA reforms, the FASEA Code of Ethics, Royal Commission recommendations, ASIC Project 515 and "lookback" projects as a result of the fee for no service issue, he ...

SMSF auditors come under fire

ALLY SELBY  |  THURSDAY, 23 APR 2020
... conditions, ASIC has ordered Cuthbertson to undertake a peer review process for his audits, complete further study (including ethics and audit) and pass a SMSF competency exam. Heasman also must undertake a peer review process for his audits to "certify ...

Count Financial bolsters leadership team

ALLY SELBY  |  MONDAY, 6 APR 2020
... worked with Countplus chief executive Matthew Rowe to develop the Financial Planning Association of Australia's code of ethics and professional standards, now used globally through the Global Financial Planning Standards Board. Commenting on the appointment ...

Industry bodies work to ease regulatory burdens

ELIZABETH MCARTHUR  |  FRIDAY, 3 APR 2020
... as possible," Marshan said. "We have been asking for some certainty from ASIC around best interests duty and the Code of Ethics to ensure you can scope the advice quickly and efficiently for the client to deal with, for example, taking money from superannuation." ...

Time to step up or face the music

ALLY SELBY  |  THURSDAY, 2 APR 2020
... business can pivot to be more responsive to the new world on the other side of this crisis." Australian Ethical head of ethics research Dr Stuart Palmer said although there is no single picture of what a responsible or irresponsible business looks like ...

Could relief on advice compliance save consumers?

ELIZABETH MCARTHUR  |  THURSDAY, 2 APR 2020
... immediate needs being met." He also wants to see ASIC take more of a facilitative approach (as it did with the FASEA Code of Ethics) with legislation passed or in the pipeline including the FASEA exam. "Any and all of these initiatives would free up ...

Super scammers pose as authorities

HARRISON WORLEY  |  FRIDAY, 27 MAR 2020
... gain access to superannuation'' So straight off the bat, no messing around," Craggs said. Having just completed a Kaplan ethics exam, Craggs said the thought forefront in his mind was how unethical the practice of scamming ordinary Australians out of ...

IMAP not anticipating regulatory overhaul

ELIZA BAVIN  |  WEDNESDAY, 25 MAR 2020
... and then there would be a further period before those regulations became effective," he said. In relation to the code of ethics, Potter said IMAP has been working closely with FASEA on the impact of the code and those who give advice on managed accounts. ...

FASEA exam to go online

HARRISON WORLEY  |  THURSDAY, 19 MAR 2020
The Financial Adviser Standards and Ethics Authority has cancelled the scheduled April adviser exam, with advisers set to take it online as the COVID-19 pandemic rolls on. FASEA has been forced to cancel its April face-to-face exams. Recognising the ...

Praemium rolls out investment tools, options

HARRISON WORLEY  |  TUESDAY, 10 MAR 2020
... managed accounts platform to provide advisers with a more intuitive way to tailor client's portfolios to their specific ethics and values. While advisers could previously use the platform to cater to some ESG demands by placing holding exclusions ...