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Showing 311 - 320 of 854 results for "Code"

Senior lawyer drags AMP to court

KANIKA SOOD  |  THURSDAY, 24 OCT 2019
... fee for no service complaints, she was exercising her workplace right to make a complaint or inquiry, and was following the code of conduct, she says. Company's reaction to Cook's complaints Cook says that she had enjoyed "good working relationships" ...

AFA calls for clarity on ethics code

ELIZABETH MCARTHUR  |  WEDNESDAY, 23 OCT 2019
... Advisers (AFA) has called for more clarification and key changes on the Financial Adviser Standards and Ethics Authority code of the ethics. FASEA released its first guidance on the code, which will come into effect next year, late last week. The guidance ...

New SMAs launch

ELIZABETH MCARTHUR  |  MONDAY, 21 OCT 2019
A new range of separately managed accounts (SMAs) have launched, attempting to address a demand the new FASEA code of ethics could create. A group of financial advisers have come together to launch the SMAs through Ethical Advisers Funds Management. ...

FASEA clears up code of ethics

ELIZA BAVIN  |  MONDAY, 21 OCT 2019
The Financial Adviser Standards and Ethics Authority have released a guidance document for its code of ethics for financial advisers, which will come into effect on January 1, 2020. The code comprises of five values and 12 standards and has been designed ...

ASIC grants compliance scheme relief

HARRISON WORLEY  |  WEDNESDAY, 16 OCT 2019
... disciplinary body for advisers, compliance schemes will no longer monitor and enforce the Financial Planners and Advisers Code of Ethics. However, enshrined in the Corporations Act 2001 is an obligation for AFS licensees to ensure that their financial ...

Code monitoring move disappoints industry

ELIZABETH MCARTHUR  |  MONDAY, 14 OCT 2019
... statement that the government will work towards establishing the new disciplinary body in early 2021, replacing the role of code monitoring bodies which were due to be established by industry associations under professional standards reform. From the ...

Advice associations slammed

JAMIE WILLIAMSON  |  THURSDAY, 3 OCT 2019
... advocacy "and set themselves up as education providers, charging advisers thousands more dollars for FASEA courses" as well as "Code of Conduct police to prosecute advisers rather than support or defend them". "Advisers feel the FPA and AFA have achieved ...

FASEA ethics pose risk to managed accounts

ELIZABETH MCARTHUR  |  MONDAY, 23 SEP 2019
... submission to the Financial Adviser Standards and Ethics Authority, questioning its consideration of conflicts of interest in the Code of Ethics. IMAP said Standard 3 in the FASEA Code of Ethics - "You must not advise, refer or act in any other manner ...

Support staff should meet FASEA standards

ELIZABETH MCARTHUR  |  FRIDAY, 20 SEP 2019
... come up down the track that if we say that everyone who is an adviser has to meet certain standards, has to comply with a code," he said. "You have to expect that at some point in time - whether the regulator pushes for it or the industry pushes for ...

One regulatory regime enough: FSC

HARRISON WORLEY  |  FRIDAY, 13 SEP 2019
... need for duplication of regulators and unnecessary cost. "The FSC's preferred approach would mean advisers adhere to one code of ethics, and are overseen by one code monitoring body that helps deliver the protections consumers expect and that advisers ...