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Showing 231 - 240 of 600 results for "Authorised Representative"

Dover, McMaster found guilty

JAMIE WILLIAMSON  |  FRIDAY, 22 NOV 2019
... judge said. The judge accepted ASIC's submission that each time the policy was distributed by an authorised representative to an existing or prospective client, Dover contravened the law. Some 19,402 clients received the policy in total, provided ...

Total Financial Solutions to shutter next year

ELIZA BAVIN  |  TUESDAY, 19 NOV 2019
CountPlus has announced an early 2020 end date for the Total Financial Solutions (TFS) dealer group. The plan was confirmed today at CountPlus' annual general meeting. TFS currently has around 81 financial advisers on staff, with CountPlus saying 62 ...

Former Apogee, GPS Wealth advisers banned

JAMIE WILLIAMSON  |  THURSDAY, 7 NOV 2019
... clients' interests, comply with the best interests duty and to provide appropriate advice. Khaw, a former authorised representative of Apogee, was not adequately trained or competent to provide financial services and was found to have backdated file ...

Morningstar bets on advice software

KANIKA SOOD  |  MONDAY, 4 NOV 2019
The research house is set to acquire AdviserLogic as it looks to add financial planning software to its adviser offering. Morningstar has entered a definitive agreement to acquire AdviserLogic for undisclosed terms, with the transaction expected to ...

Adviser tampered with MySuper

ELIZABETH MCARTHUR  |  FRIDAY, 1 NOV 2019
... MySuper option. Thanh Huu Tran has been banned for two years as a result of the misconduct. He was an authorised representative of Aon Hewitt Financial Advice from July 2011 to November 2018. The Aon Master Trust MySuper product has lower fees and costs ...

RI Advice faces ASIC action

JAMIE WILLIAMSON  |  THURSDAY, 31 OCT 2019
... appropriate advice, acted in clients' best interests and put their interests ahead of his own. An authorised representative of the group between 2013 and 2016, Doyle is alleged to have given inappropriate "cookie cutter" advice to retail clients ...

ASIC bans former Fitzpatricks employee

ELIZA BAVIN  |  MONDAY, 28 OCT 2019
... client and company accounts of Fitzpatricks Private Wealth Partners Pty Ltd, a related body corporate and authorised representative of Fitzpatricks," ASIC said. [Radke's] conduct involved ongoing dishonestly and, in the interests of promoting confidence ...

ASIC nudges robo-adviser to shutter

ELIZABETH MCARTHUR  |  FRIDAY, 18 OCT 2019
A digital advice firm has voluntarily shut down two robo-advice tools after ASIC raised concerns. Lime FS, a Sydney-based Australian financial services licensee, was running corporate authorised representatives Plenty Wealth, Plenty Plus and Lime Wealth ...

Former NAB adviser sentenced

HARRISON WORLEY  |  TUESDAY, 8 OCT 2019
... to date has banned 60 advisers and three directors from the financial services industry. Eung was an authorised representative and financial adviser at NAB between May 2015 and December 2016, before becoming a credit representative of a credit licensee ...

Advice associations slammed

JAMIE WILLIAMSON  |  THURSDAY, 3 OCT 2019
... Financial Services principal Alex Vagliviello, with member representatives including Consilium Advice authorised representative Michael O'Dea, Abacus Finance and Property chief executive Kellie Lam, and Finsure Finance and Insurance's Paul Ma ...