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Showing 371 - 380 of 600 results for "Authorised Representative"

ASIC bans former AMP adviser

KERRIE SYDEE  |  MONDAY, 21 NOV 2016
A former authorised representative of AMP Financial Planning has received an eight year ban after engaging in misleading conduct. James McCarthy of South Australia has been banned from providing financial services until 14 November 2024. He is the sole ...

ASIC bans deceptive adviser

KERRIE SYDEE  |  TUESDAY, 8 NOV 2016
... recommending clients invest in unsecured fixed interest notes in Protect Ensure. Karakatsanis has been an authorised representative of a number of Australian Financial Services Licensees since 2003, however between 16 July 20212 and 22 May 2014 he was ...

ASIC bans Brisbane life adviser

KERRIE SYDEE  |  FRIDAY, 4 NOV 2016
... years after an investigation found he had failed to comply with several financial services laws. Former authorised representative of Affinia Financial Advisers, Christopher Young, was banned after ASIC found he failed to act in his clients' best interests ...

ASIC permanently bans jailed adviser

KERRIE SYDEE  |  FRIDAY, 28 OCT 2016
... benefit. Whelan's actions saw the organisation lose $33,419.11. At the time of her actions Whelan was an authorised representative under National Adviser Services, AFSL No. 233750. Her status as an authorised representative was terminated on 2 August ...

Fraudulent adviser faces court

JAMIE WILLIAMSON  |  WEDNESDAY, 28 SEP 2016
... Wales yesterday, accused of engaging in dishonest conduct with investor funds. Nakhl was employed as an authorised representative of Australian Financial Services Limited, now in liquidation, from March 2009 to March 2011 and was most recently the sole ...

Centrepoint establishes adviser transition program

KERRIE SYDEE  |  WEDNESDAY, 21 SEP 2016
... arrangements. "We can provide a clear, fully supported pathway from being an in-house salaried adviser to an authorised representative or ultimately becoming self-licensed, if that is appropriate. This is about enabling and supporting the best salaried ...

ASIC accepts EU from Perth advice firm

ALEX BURKE  |  TUESDAY, 13 SEP 2016
ASIC has accepted an enforceable undertaking from a Perth financial advice firm. The regulator expressed concerns about compliance management at Neo Financial Solutions and has requested the group engage with an independent expert to assess these issues. ...

Super funds extend support to local communities

KERRIE SYDEE  |  TUESDAY, 6 SEP 2016
... Townsville for the past 14 years, having previously worked for 12 years as a client services officer and authorised representative for Clearview Financial Advice. Energy Super chief executives Robyn Petrou said the appointment would allow the fund to ...

Former Westpac exec joins YBR

JAMIE WILLIAMSON  |  TUESDAY, 6 SEP 2016
... private banks for financial planning at Westpac, now leads YBR's wealth management business, focused on authorised representative recruitment, increasing the number of clients who receive advice and growing capabilities across the division. "Adam brings ...

HUB24 partners for new white label offering

ALEX BURKE  |  TUESDAY, 30 AUG 2016
HUB24 has partnered with a licensee to create a new bespoke platform and managed portfolio offering. Beacon Financial Group selected HUB24 to create this new service to be distributed to its over-200 authorised representatives, collectively managing ...