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Showing 381 - 390 of 600 results for "Authorised Representative"

ASIC accepts EU from My Adviser

KERRIE SYDEE  |  WEDNESDAY, 24 AUG 2016
... Financial (collectively Arion). Arion was a Gold Coast financial advice business and was a corporate authorised representative of My Adviser from August 2012 to September 2014. The ASIC investigation uncovered a number of instances of poor and unauthorised ...

ASIC hands down multiple bans

KERRIE SYDEE  |  WEDNESDAY, 27 JUL 2016
... Ryan Batros has been banned by ASIC from providing financial services for five years. Batros was an authorised representative with financial services licensee, Morgans Financial, between January 2012 and August 2014. The ban follows an ASIC investigation ...

Elders adds fifth practice

KERRIE SYDEE  |  WEDNESDAY, 13 JUL 2016
... group's recent transformation. Clark joined Border Region Financial Services as a director and is an authorised representative for EFP. Prior to this he was an investigator for 4Rivers conducting factual and circumstance investigations for the insurance ...

Former adviser charged with fraud

KERRIE SYDEE  |  TUESDAY, 5 JUL 2016
... 12 years imprisonment. ASIC has alleged that between September 2010 and October 2011, Birk who was an authorised representative of Professional Investment Services (Bundall) "dishonestly caused detriment to numerous clients." In 1999 Birk was made partner ...

ASIC changes drive GPS Wealth growth

KERRIE SYDEE  |  THURSDAY, 30 JUN 2016
The need to hold a limited Australian financial service licence (AFSL) or be an authorised representative of a licence-holder or licensee has seen more than 60 accounting practices join GPS Wealth in the last financial year. The 60 practices including ...

Synchron appointment looks to the future

KERRIE SYDEE  |  MONDAY, 20 JUN 2016
Synchron has appointed a new compliance officer in a bid to set up the non-aligned dealer group for future success. Michael Jones will commence the role in late June, joining Synchron from UBS Wealth Management where he was director of transactions ...

AAT reduces adviser ban

KERRIE SYDEE  |  MONDAY, 20 JUN 2016
... advice. The misconduct occurred between June 2013 and December 2013, during that time Prasad was an authorised representative of Lionsgate Financial Group. On 15 May 2015, Prasad appealed ASIC's decision at the AAT. His banning will now cease on 26 October ...

Synchron lands payroll tax win

KERRIE SYDEE  |  TUESDAY, 14 JUN 2016
Leading non-institutional licensee, Synchron, has won its battle on payroll tax that would have had major financial implications for Australian licensees. After a five year legal battle, the State Revenue Office (SRO) Victoria has issued a letter to ...

National dealer group adds two advice firms

DARREN SNYDER  |  TUESDAY, 14 JUN 2016
... JosA(C) Pais brings a high level of expertise and knowledge from previous roles at Suncorp as a corporate authorised representative, and at Westpac as a corporate financial planner. Pais said he chose Elders over other dealer groups "because they were ...

ASIC warns SMSF accountants to have backup plan

KERRIE SYDEE  |  WEDNESDAY, 8 JUN 2016
... risks. In a statement ASIC cautioned accountants that until a licence has been granted, or they become an authorised representative of a licensee, they are not able to provide financial product advice on self-managed superannuation funds (SMSFs). ASIC ...