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Showing 3051 - 3060 of 9818 results for "Advisers"

Acadian taps CFS executive

HARRISON WORLEY  |  MONDAY, 6 JAN 2020
... as vice president product and wholesale markets, in a move designed to help the firm grow its presence among financial advisers and wholesale investors. Mukundan's appointment sees the firm's local sales and client team grow to five people, mirroring ...

FASEA loses board director

ELIZA BAVIN  |  MONDAY, 6 JAN 2020
... success in her future role." Her resignation comes as the FASEA Code of Ethics kicks into action, with all financial advisers expected to be compliant as of January 1.

FASEA responds to concerns

ELIZABETH MCARTHUR  |  FRIDAY, 20 DEC 2019
... stakeholders following the release of its guidance document in October. Those consultations revealed a series of issues that had advisers and licensees calling for further clarity. 1. Timeframes for implementation On this point, FASEA said it considers ...

ASIC alters adviser levy

ELIZABETH MCARTHUR  |  FRIDAY, 20 DEC 2019
... year might need to change their plans. He explained while it might not be a big deal for some licensees, those with many advisers will feel the difference. And, Marshan said the big issue is that ASIC has updated its calculations without notifying anyone ...

Radio host adviser revealed as alleged fraudster

ELIZABETH MCARTHUR  |  FRIDAY, 20 DEC 2019
... act in their best interests," said Erin Schneider, director of the SEC's San Francisco regional office. "Investment advisers must be truthful about their background and fully disclose all conflicts of interest." Springer is the second investment ...

Westpac to pay $9.5m for Corps Act breaches

JAMIE WILLIAMSON  |  THURSDAY, 19 DEC 2019
... significant civil penalty, because the law imposes a specific liability on licensees for the breaches of their financial advisers, ASIC said. This is the result of civil penalty proceedings brought against Westpac by ASIC in June 2018. ASIC's investigation ...

What you read in 2019: Financial advice

JAMIE WILLIAMSON  |  THURSDAY, 19 DEC 2019
... unfortunately it was rarely a good thing. We are bidding farewell to the year that is likely to be remembered as one financial advisers would rather forget. We've seen the major institutions restructure their wealth functions, with many heading for ...

18 misconceptions about FASEA code

ELIZABETH MCARTHUR  |  THURSDAY, 19 DEC 2019
... Ethics. Patterson told Financial Standard that amid all the editorialising around the FASEA code from industry bodies and advisers themselves, a simple message is being lost. "Go back to the basics," he said. As for what FASEA can do to combat confusion ...

VanEck changes ETF portfolios

ALLY SELBY  |  THURSDAY, 19 DEC 2019
... Investment Solutions have made a number of changes to their three low-cost ETFs. The portfolios are designed to help financial advisers and brokers to build diversified portfolios for their clients, while also respecting their risk appetite and investment ...

Time-poor advisers to embrace model portfolios

HARRISON WORLEY  |  WEDNESDAY, 18 DEC 2019
New research from global asset manager State Street Global Advisors reveals financial advisers may shun traditional investment management tasks in a bid to spend more time on clients as mounting regulatory and compliance responsibilities take their ...