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Showing 201 - 210 of 540 results for "ethics"

Update on FASEA code guidance on the way

ELIZABETH MCARTHUR  |  FRIDAY, 29 NOV 2019
Financial Adviser Standards and Ethics Authority chief executive Stephen Glenfield has confirmed more guidance on the contested Code of Ethics is imminent. Speaking to Financial Standard at the FPA Professionals Congress, Glenfield confirmed FASEA is ...

FASEA compliance has silver lining

KANIKA SOOD  |  FRIDAY, 29 NOV 2019
... financial planning practices that don't have a clearly laid out business plan, the workload of meeting FASEA's Code of Ethics requirements can be a great push to get it in order, according to a speaker at the FPA Congress. In a session about ...

AFCA reveals approach to Code of Ethics compliance

JAMIE WILLIAMSON  |  FRIDAY, 29 NOV 2019
... Financial Conduct Authority has outlined its approach to assessing financial planner conduct in relation to the Code of Ethics. Speaking at the FPA Congress, AFCA deputy chief ombudsman June Smith said the body will take a measured and considered approach ...

Regulators quash remuneration rumours

ELIZABETH MCARTHUR  |  THURSDAY, 28 NOV 2019
The Code of Ethics does not seek to ban particular forms of remuneration nor does it say that any forms of remuneration are specifically a conflict, FASEA chief executive Stephen Glenfield told the FPA Congress. Appearing as part of a regulatory update ...

FASEA exam tips from those who passed

ELIZABETH MCARTHUR  |  THURSDAY, 28 NOV 2019
... aspects of the act perfectly." Rather, he said the exam requires advisers to "identify their obligations under the Code of Ethics". "The questions posed will require advisers to provide general knowledge despite their area of specialisation," Glenfield ...

FASEA chief to provide update

ELIZABETH MCARTHUR  |  WEDNESDAY, 27 NOV 2019
The chief executive of the Financial Adviser Standards and Ethics Authority will address delegates at the FPA Congress, with an update expected. FASEA chief executive Stephen Glenfield will speak as part of a regulatory update, with Julie Berry from ...

Paraplanners tackle compliance challenges

ELIZABETH MCARTHUR  |  WEDNESDAY, 27 NOV 2019
... role of paraplanners in compliance has been highlighted at the FPA Congress, with discussion turning to the FASEA Code of Ethics which continues to present complications. Nadia Docker is director, client engagement at Integrity Compliance and part of ...

Advice associations welcome ASIC stance

HARRISON WORLEY  |  WEDNESDAY, 27 NOV 2019
Australia's peak financial planning bodies have welcomed ASIC's stance on the Financial Planners and Advisers code of ethics, however remain concerned about the workability of certain standards. In separate statements, both the Financial Planning Association ...

ASIC outlines Code of Ethics expectations

ELIZA BAVIN  |  TUESDAY, 26 NOV 2019
... Securities and Investment Commission has outlined what it expects of advice licensees in regards to enforcing the Code of Ethics, saying it will not monitor or enforce individual advisers' compliance. The regulator said under the Corporations Act it ...

AIST finds issues with FASEA code

ELIZABETH MCARTHUR  |  MONDAY, 25 NOV 2019
... Trustees has written to FASEA chief executive Stephen Glenfield seeking clarification on how key points of the Code of Ethics will apply to intra-fund advice. Responding to the guidance on the code, AIST chief executive Eva Scheerlinck wrote to Glenfield ...