Search Results | Showing 1 - 10 of 540 results for "ethics" |
| | | ... licensee. As a result, the panel said the relevant provider contravened s921E(3) of the Corporations Act 2001, and the Code of Ethics 's values of trustworthiness and diligence and breached Standards 2 and 7. In a separate determination, an adviser was ... |
| | | | ... services law and therefore also didn't comply with Standard 5 (client care) or Standard 9 (quality process) of the Code of Ethics. The laws the adviser is said to have breached were s961B(1), s961G, s947D, and s921E(3). This means the adviser did ... |
| | | | ... concept subjects and four accredited financial advice subjects. The four proposed accredited financial advice subjects are ethics for professional advisers, financial advice regulatory and legal obligations, client and consumer behaviour, and financial ... |
| | | | ... of you, but this resulted in better applying our minds to complexity, using the best science, modelling, mindset, data, ethics, and analysis. I learned resilience is worthwhile." |
| | | | ... profession. "Having benefited from and contributed to the CFA community for nearly two decades, I'm committed to championing ethics, lifelong learning, and professional excellence. I'm energised by the opportunity to bring my global experience ... |
| | | | ... as independent chair of the new trustee firm. Glenfield, who was chief executive of the Financial Adviser Standards and Ethics Authority (FASEA) between 2018 and 2022, is an independent director. Super Trustees Australia currently oversees the SPSL Pooled ... |
| | | | ... operations in superannuation and funds management," the report read. It noted a push for hybrid tech-GRC skills such as AI ethics, governance and cyber resilience in maturing private credit funds, as cyber and data privacy threats rise. |
| | | | ... disregard for adverse human rights impacts." Its holdings include Microsoft and Alphabet. Australian Ethical chief impact and ethics officer Alison George said in a statement: "We apply ethical investment restrictions to any company or asset we assess ... |
| | | | ... client care and practice (five hours); regulatory compliance and consumer protection (five hours); professionalism and ethics (nine hours); and tax (financial) advice (five hours where the financial adviser is authorised to provide tax (financial) advice ... |
| | | | ... divestment from Caterpillar in August over the use of its equipment by the IDF. It followed recommendations by the Council of Ethics on both June 25 and July 2. This was done under the existing guideline that the fund cannot invest in companies involved ... |
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