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Showing 211 - 220 of 256 results for "Financial Services Law"

Prosecution drops charges against Storm adviser

LAURA MILLAN  |  MONDAY, 17 NOV 2014
The Commonwealth Director of Public Prosecutions has withdrawn its charge against former Storm Financial adviser Walter John Fullerton-Smith, following the death of a key witness. Fullerton-Smith faced a charge of making a false or misleading statement ...

ASIC bans former PIS and AMP advisers

LAURA MILLAN  |  MONDAY, 23 JUN 2014
Former Professional Investment Services (PIS) and AMP Financial Planning advisers have been banned from financial services. The Australian Securities and Investments Commission (ASIC) took action against AMP Financial Planning adviser Roy Whye Wah Moo ...

FoFA amendments will reduce quality of advice: lawyer

JAMES FERNYHOUGH  |  TUESDAY, 11 MAR 2014
The government's proposal to amend the best interest duty section of the Future of Financial Advice (FoFA) reforms are "inconsistent with the nature of a best interests duty" and will "reduce the overall quality of financial advice", according to legal ...

Tarrant appeals AAT banning order

LAURA MILLAN  |  FRIDAY, 24 JAN 2014
Tarrants managing director Ross Tarrant has appealed the Administrative Appeals Tribunal (AAT) decision to ban him from providing financial services for seven years. Tarrant was sued by about 100 investors in the case of the Trio Capital fraud for ushering ...

ASIC accepts EU from two advice firms

LAURA MILLAN  |  TUESDAY, 24 SEP 2013
... according to ASIC, Spring Financial failed to monitor and supervise Royal Capital to ensure compliance with the financial services law. The firm also failed to provide enough processes and education to its authorised representatives Spring Financial ...

AFS advisers question payment model

LAURA MILLAN  |  FRIDAY, 16 AUG 2013
... 2013, but fund managers have kept pouring money into it and it is now estimated to hold over $1.9 million. Financial services law firm Holley Nethercote, which represents former AFS advisers, was pessimistic about the situation. In a letter to advisers ...

ASIC slaps permanent ban on insurance claim manager

MARK SMITH  |  WEDNESDAY, 10 JUL 2013
ASIC has permanently banned a Victorian insurance claims manager from providing financial services after an investigation found he fraudulently pocketed more than $1 million. Travers David Loy, of Heathmont in Victoria, was the national claims manager ...

netwealth expands its board of directors

JAMES FERNYHOUGH  |  WEDNESDAY, 10 JUL 2013
... board. "Her strategic insights from senior leadership roles in platforms and funds management, as well as in financial services law, will be a real advantage for us." Mulligan said the netwealth's diverse offerings in the financial services space provides ...

Former Astarra director permanently banned from fin services

LAURA MILLAN  |  THURSDAY, 7 MAR 2013
The Australian Securities and Investments Commission (ASIC) announced today that it has permanently banned former Astarra Asset Management director Eugene Liu from providing financial services for failing to comply with financial services laws. Liu ...

Broken 'contribs law' needs fixing: SPAA

BEN COLLINS  |  THURSDAY, 14 FEB 2013
... but Burgess questions its overall impact on the Government's budget position. Jemma Sanderson partner of financial services law firm Cooper Partners said that the legislation can also be particularly bad for women, who take extended breaks from the w ...