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Showing 191 - 200 of 852 results for "Code"

ASIC announces advice affordability findings

KARREN VERGARA  |  TUESDAY, 6 JUL 2021
... comprehensive and limited advice fall under the same regulatory requirements. Participants pointed out that meeting the FASEA Code of Ethics is a concern, as is the lack of clarity around the regulatory requirements for limited advice. The majority said ...

Lumiant raises capital, adds to board

KARREN VERGARA  |  WEDNESDAY, 23 JUN 2021
... said. "Lumiant frees them from regulatory and product constraints. Each module has been carefully mapped against the FASEA code of ethics, as well as ensuring advisers can easily adhere to know your customer and best interest duty requirements by letting ...

iFactFind launches

KARREN VERGARA  |  TUESDAY, 15 JUN 2021
... practices. It supports advisers to meet their legal and ethical obligations, including Standard 5 and Standard 8 of FASEA's Code of Ethics, which requires client records, including those of former clients, to be "kept in a form that is complete and ...

James Mawhinney files appeal

ELIZABETH MCARTHUR  |  TUESDAY, 15 JUN 2021
... misguided because of that commercial pressure. We also note that some media activity has been in breach of the ACCC Media Code of Conduct." Mawhinney maintains that he is working "around the clock" to get investors in Mayfair products their money back. ...

Life Code Compliance Committee chair named

ANNABELLE DICKSON  |  TUESDAY, 8 JUN 2021
The Financial Services Council and AFCA have jointly appointed Jan McClelland as chair of the Life Code Compliance Committee (LCCC). McClelland has extensive board experience and is currently deputy chancellor at the University of New England, chair ...

Research on education standards and morals launches

KARREN VERGARA  |  WEDNESDAY, 2 JUN 2021
... that ban commissions, require financial advisers to undertake further education, sit a national ethics exam and abide by a code of ethics to determine the impact that these changes may have had on the moral reasoning of advisers. The financial services ...

Pengana Capital distribution executive exits

KARREN VERGARA  |  MONDAY, 31 MAY 2021
... Steven Glass exited in March after overseeing the strategy for more than five years. The fund, listed on the ASX with ticker code PIA, dropped to $1.19 after Glass and Cvetanovski departed, after reaching as high as $1.35 in late February. US manager ...

Criminal charges filed against ME Bank

JAMIE WILLIAMSON, KANIKA SOOD  |  THURSDAY, 27 MAY 2021
... to contraventions of sections 12DB(1)(g) and 12GB(1) of the ASIC Act and sections 64(1) and 65(1) of the National Credit Code (Cth). Section 12DB(1)(g) relates to making false or misleading representations with respect to the price of services, while ...

Bill and Melinda Gates to divorce

ELIZABETH MCARTHUR  |  TUESDAY, 4 MAY 2021
Bill and Melinda Gates have filed for divorce and will now set about dividing their US$130 billion fortune. A petition for dissolution of their marriage was filed by the couple in King County, Washington. They have been married since 1 January 1994. ...

Standard Life Aberdeen rebrands to Abrdn

KARREN VERGARA  |  TUESDAY, 27 APR 2021
... rollout will kick off in June. The firm, which is listed on the London Stock Exchange, will also revise its stock ticker code, expected to take place prior to publishing its half-year results in August. Standard Life Aberdeen recently offloaded the Standard ...