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Showing 311 - 320 of 865 results for "Code"

Paraplanners tackle compliance challenges

ELIZABETH MCARTHUR  |  WEDNESDAY, 27 NOV 2019
The role of paraplanners in compliance has been highlighted at the FPA Congress, with discussion turning to the FASEA Code of Ethics which continues to present complications. Nadia Docker is director, client engagement at Integrity Compliance and part ...

Advice associations welcome ASIC stance

HARRISON WORLEY  |  WEDNESDAY, 27 NOV 2019
Australia's peak financial planning bodies have welcomed ASIC's stance on the Financial Planners and Advisers code of ethics, however remain concerned about the workability of certain standards. In separate statements, both the Financial Planning Association ...

ASIC outlines Code of Ethics expectations

ELIZA BAVIN  |  TUESDAY, 26 NOV 2019
... Australian Securities and Investment Commission has outlined what it expects of advice licensees in regards to enforcing the Code of Ethics, saying it will not monitor or enforce individual advisers' compliance. The regulator said under the Corporations ...

AIST finds issues with FASEA code

ELIZABETH MCARTHUR  |  MONDAY, 25 NOV 2019
... Superannuation Trustees has written to FASEA chief executive Stephen Glenfield seeking clarification on how key points of the Code of Ethics will apply to intra-fund advice. Responding to the guidance on the code, AIST chief executive Eva Scheerlinck ...

Continued calls for code compliance extension

ELIZABETH MCARTHUR  |  THURSDAY, 21 NOV 2019
... important step for ASIC as there was a legal requirement for licensees to ensure financial planners were registered with a code monitoring body, and that registration was recorded on the financial adviser register before the end of the year." However ...

Registration deadline extended: ASIC

ELIZABETH MCARTHUR  |  THURSDAY, 14 NOV 2019
... The disciplinary body will be charged with monitoring and enforcing the Financial Adviser Standards and Ethics Authority Code of Ethics. Following the announcement of the disciplinary body, on October 11, ASIC sought to assure AFSLs that it would not ...

ASFA strikes back at super detractors

HARRISON WORLEY  |  WEDNESDAY, 13 NOV 2019
... different contribution rates, fees and charges, real wage growth, CPI growth and other factors. "Publication of the MARIA code would allow us to move beyond the fractious debate on adequacy and contribution rates and focus on the next chapter of our ...

Morningstar now an ETF issuer

KANIKA SOOD  |  WEDNESDAY, 13 NOV 2019
... segment as an issuer. The Morningstar International Shares Active ETF started trading on the ASX yesterday under the ticker code MSTR. It will invest in an unlisted managed fund that Morningstar has distributed since 2013. This is the $515 million Morningstar ...

Sydney boutique heads for Chi-X

KANIKA SOOD  |  WEDNESDAY, 13 NOV 2019
... current income above what is generally offered through cash products." The eInvest Cash Booster Fund (managed fund) (ticker code: ECAS) will have a return target of 0.5% above cash rate (net of fees). It will invest in cash, term deposits, short-term ...

FASEA attempting to re-write law: AFA

ELIZABETH MCARTHUR  |  WEDNESDAY, 13 NOV 2019
The Financial Adviser Standards and Ethics Authority is using its Code of Ethics to re-write the law rather than providing genuine guidance to financial advisers, the industry association believes. According to the Association of Financial Advisers ...