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Showing 211 - 220 of 600 results for "Authorised Representative"

ASIC bans RC case study adviser

HARRISON WORLEY  |  TUESDAY, 12 MAY 2020
... or appropriate fee disclosure statements in a timely manner. Harris, a former Millennium3 and Dover authorised representative, was the subject of a Royal Commission case study, which saw advice he provided to clients as a Millennium3 adviser pored over ...

Former Spectrum Wealth, NAB advisers banned

ELIZA BAVIN  |  THURSDAY, 30 APR 2020
... banned another from NSW for three years for failing to consider clients' best interests. Jane Myers, an authorised representative of Spectrum Wealth between 2013 and 2017, has been banned by the regulator following surveillance. ASIC said Myers claimed ...

Curtains fall for two financial services companies

ALLY SELBY  |  MONDAY, 27 APR 2020
The Federal Court of Australia has ordered two financial services companies to be wound up, with McGrathNicol appointed as the liquidator of both firms. ASIC applied to have both Audrn Group and Optima Lending Solutions wound up earlier this year, with ...

Advisers adapt as crisis unfolds

ALLY SELBY  |  MONDAY, 20 APR 2020
Despite both the health and economic destruction that the COVID-19 pandemic has left in its wake, the environment, albeit dark, has highlighted the value of Australia's advice industry. The human element of advice; the ability to connect with someone ...

New firm joins Count Financial network

ELIZABETH MCARTHUR  |  WEDNESDAY, 1 APR 2020
... firm in Queensland. Affinitas Financial Planning has joined Count Financial as its newest corporate authorised representative. Affinitas Financial Planning managing director Brad Peters said Affinitas had been looking for the appropriate partner by "speed ...

Former AMP adviser sentenced

ELIZABETH MCARTHUR  |  FRIDAY, 27 MAR 2020
A former authorised representative of Charter Financial Planning has been charged over what the judge described as a betrayal of his clients. Trevor Martin from Kiama on the NSW south coast was hit with 750 hours of supervised community service as part ...

Why remediation jobs aren't short-term

ELIZABETH MCARTHUR  |  TUESDAY, 24 MAR 2020
The woman who ran BT Financial Group's advice remediation program has revealed what financial advisers need to know about remediation, and why some of the banks may make their remediation teams permanent. Melissa Bogg was program director and head ...

Former ANZ adviser banned

ELIZA BAVIN  |  TUESDAY, 24 MAR 2020
... for four years. The regulator said it had been surveilling Anthony Hilsley's activities when he was an authorised representative of RI Advice Group, owned at that time by ANZ. Hilsley was most recently an authorised representative of Fiducian Financial ...

Life commissions, referral fees still kosher: AFA

ELIZABETH MCARTHUR  |  THURSDAY, 27 FEB 2020
A regulatory update at the Association of Financial Advisers' Roadshow event in Sydney provided financial advisers a clear message on life insurance commissions and referral fees, and took aim at a former FASEA board member in the process. AFA general ...

Former AMP, Synchron adviser charged

HARRISON WORLEY  |  FRIDAY, 21 FEB 2020
... when Dick was working as an adviser for AMP's Jigsaw Support Services. In March 2012, Dick became an authorised representative of NAB's GWM Adviser Services, where he worked for just over two years before beginning an almost four year stint at Synchron ...