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Showing 281 - 290 of 1668 results for "Register"

Advisers' experience stands at 14.5 years

KARREN VERGARA  |  WEDNESDAY, 19 JUL 2023
... than 20, a Rainmaker analysis shows. Rainmaker's June 2023 Financial adviser report based on ASIC's Financial Adviser Register found that very are sticking around for the long haul. Only 7% of registered advisers have more than three decades of professional ...

APRA finalises operational risk prudential standard

ANDREW MCKEAN  |  TUESDAY, 18 JUL 2023
... QMV Legal further highlighted that under the new standard, the service provider policy no longer needs to include the register of material service providers. Additionally, the requirement for entities to take reasonable steps to assess whether a provider ...

FY23 farewells 700 advisers

KARREN VERGARA  |  FRIDAY, 14 JUL 2023
... population to 15,708 from 16,415 at the end of the 2023 financial year. Rainmaker analysis of ASIC's Financial Adviser Register found a 4% year-on-year decline in the adviser pool from 16,415 advisers practising in FY22. AMP Financial Planning lost a ...

Advice firm revenues jump 45%

KARREN VERGARA  |  WEDNESDAY, 12 JUL 2023
... responsibilities, he said. "Around half of advice practices surveyed are still maintaining a manual complaint and breach register - a certain drain on efficiency and a clear opportunity for the industry," Mitchell said.

ASIC permanently bans David Sutton

ANDREW MCKEAN  |  TUESDAY, 4 JUL 2023
... Administrative Appeals Tribunal, ASIC's current ruling stands firm. Sutton's ban is recorded on ASIC's banned and disqualified register.

Cbus delivers strong returns, grapples property headwinds

ANDREW MCKEAN  |  FRIDAY, 30 JUN 2023
Cbus is poised to deliver solid results for its members this year, forecasting a return of about 8.5%, according to newly appointed chief investment officer Brett Chatfield. Speaking with Financial Standard, Chatfield credited the result to a combination ...

Former Capstone adviser in EU with ASIC

JAMIE WILLIAMSON  |  THURSDAY, 22 JUN 2023
... Blackaby was licensed through Capstone Financial Planning from November 2016 to 16 June 2023. The ASIC Financial Adviser Register shows he has now ceased, with the terms of the undertaking being that he cannot carry on a financial services business ...

Large AFSLs lead advice complaints: AFCA

KARREN VERGARA  |  THURSDAY, 22 JUN 2023
Financial advisers from large aligned AFSL groups bear the brunt of complaints, according to the Australian Financial Complaints Authority's data, with several AMP and Insignia Financial practices leading the pack. Modelling of the AFCA data shows ...

ASIC releases May exam pass rate

KARREN VERGARA  |  MONDAY, 19 JUN 2023
... tested in the exam, ASIC said. About 15,810 are recorded as current financial advisers on ASIC's Financial Adviser Register (FAR). Nearly 3000 have ceased practising as advisers on the FAR and but can be re-authorised in the future. Some 950 passed ...

Director banned for eight years

CHLOE WALKER  |  TUESDAY, 13 JUN 2023
... existing investment," ASIC said. "Investors that accepted the offer did not receive certificates or appear on the Unitholder Register." Additionally, ASIC said, Fox represented that he had gifted investors equity through shares in Pleasure Point Mine. ...