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Showing 261 - 270 of 680 results for "Records"

Royal Commission: ASIC rethinks negotiation tactics

KARREN VERGARA  |  FRIDAY, 23 NOV 2018
... and executives of financial services firms. For the sake of transparency, Orr asked if it would be better to keep formal records. Shipton agreed, but pointed out dialogue between board members and executives intended to be "free-flowing." Commissioner ...

Westpac admits it didn't take FoFA seriously

KANIKA SOOD  |  WEDNESDAY, 7 NOV 2018
... sustainability report released today, stating: "We are now going back through all of these files to ensure that our planner's records show that advice was not provided, and if not, that fees were stopped and where appropriate refunded." Over 75 employees ...

ASIC delays adviser reporting deadlines

KARREN VERGARA  |  THURSDAY, 11 OCT 2018
... providers and licensees must still comply with the new education and training standards and licensees must keep appropriate records for compliance purposes. Licensees will still be required to comply with the requirements for provisional relevant providers ...

StatePlus general manager departs

JAMIE WILLIAMSON  |  TUESDAY, 2 OCT 2018
... put in place new processes to prevent this from happening again," StatePlus said. "We are currently checking all client records to identify those affected. Over the coming months, we will contact those clients and repayments will be issued."

AAT overrides adviser ban

KARREN VERGARA  |  FRIDAY, 21 SEP 2018
... conduct. ASIC announced it permanently banned Robert Hutchison on 11 June 2017 for double charging clients and falsifying records. Hailing from Lower Chittering, Western Australia, Hutchison was a former authorised representative of RI Advice Group ...

Former Macquarie advisers banned

JAMIE WILLIAMSON  |  WEDNESDAY, 19 SEP 2018
... also arranged for the false emails to be saved into XPLAN and created false order management (IOS) system transaction records related to the emails. Campbell was found to have engaged in the same conduct between August 2015 and March 2017. Landau and ...

TAL hired private investigator to follow claimant: Royal Commission

KANIKA SOOD  |  THURSDAY, 13 SEP 2018
... Rowena Orr called a "fishing expedition". The nurse was asked to produce a large number of documents including her tax records, GP's medical records, psychiatrist's records, Medicare history, private health insurance claims history, workers compensation ...

CBA readies wealth demerger, records $9.2bn cash profit

DARREN SNYDER  |  WEDNESDAY, 8 AUG 2018
Investors looking to buy Commonwealth Bank's demerged wealth management arm now have a clearer picture about what it looks like - a business which has generated after-tax profit of more than $500 million for the past two years. NewCo, or Commonwealth ...

Equity Trustees responds to GAM suspension

JAMIE WILLIAMSON  |  TUESDAY, 7 AUG 2018
... have failed to conduct sufficient due diligence on some of the investments that were made, or make accessible internal records of documents relating to these. "Additionally, the investigation concluded that Mr Haywood may have breached the firm's signatory ...

Existing but unregistered advisers at risk

JAMIE WILLIAMSON  |  THURSDAY, 2 AUG 2018
... must still comply with the new substantive professionalism and education requirements and licensees must keep appropriate records for compliance purposes," ASIC said.