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Showing 391 - 400 of 815 results for "Corporations Act"

CCIV consultation opens

KARREN VERGARA  |  THURSDAY, 17 JAN 2019
... initiative forward. Federal Assistant Treasurer Stuart Robert said the proposals contain a new chapter in the Corporations Act 2001, including core provisions in establishing CCIVs and their operational and regulatory requirements. Amendments to the ...

AFSL to begin independent review

DARREN SNYDER  |  WEDNESDAY, 16 JAN 2019
... compliance framework, including how it monitors its advisers and whether it meets its compliance obligations under the Corporations Act. It said the appointment of an independent expert formed part of additional conditions imposed on the AFSL. Kaz Capital ...

AFSL super options under the lens

KANIKA SOOD  |  THURSDAY, 10 JAN 2019
... "general" out of advice The same recommendation (8 of 31) has also asked the Government to immediately amend the Corporations Act 2001 to ensure that financial advice can only be used when personal circumstances are considered. This renews the Productivity ...

ASIC and Westpac court battle sees mixed outcome

DARREN SNYDER  |  FRIDAY, 4 JAN 2019
... and personal financial advice, ruling in favour of Westpac's position. Yet the bank still managed to breach the Corporations Act. Judge Jacqueline Gleeson said ASIC failed to demonstrate that Westpac Securities Administration Limited (WSAL) and BT Funds ...

FPA reviews disciplinary regulations

JAMIE WILLIAMSON  |  WEDNESDAY, 12 DEC 2018
... association's disciplinary regulations up-to-date and in line with the FASEA/CP 300 Compliance Scheme, as outlined in the Corporations Act. It also outlined key failings brought to light at the Royal Commission, such as matters taking too long to resolve ...

FASEA exam is not fair: Spot poll

KARREN VERGARA  |  MONDAY, 3 DEC 2018
... will focus on applied knowledge acquired in actual financial advice scenarios, testing competency areas in the Corporations Act, financial advice construction and applied ethics. Two days later, FASEA released its draft degree requirement legislation ...

FASEA releases draft degree requirement legislation

JAMIE WILLIAMSON  |  WEDNESDAY, 21 NOV 2018
... made available to existing advisers for the eight subject graduate diploma as well as bridging courses on the Corporations Act and behavioural finance, client and consumer behaviour. New entrants may also receive RPL for the new entrant pathway as per ...

FASEA clarifies adviser exam rules

DARREN SNYDER  |  MONDAY, 19 NOV 2018
... focus on applied knowledge acquired in actual financial advice scenarios, testing the following competency areas: Corporations Act (emphasis on Chapter 7 - Financial services and markets) Financial advice construction - suitability of advice aligned ...

Managed accounts provider enters crowdfunding

DARREN SNYDER  |  WEDNESDAY, 7 NOV 2018
... shares (up to $5 million) in any 12-month period while being exempted from certain disclosure requirements in the Corporations Act. It attempts to reduce the regulatory burden for small companies to raise capital, BIR Financial said. Under the rules ...

Assistant Treasurer refutes breach allegations

HARRISON WORLEY  |  FRIDAY, 26 OCT 2018
Assistant Treasurer Stuart Robert has countered allegations he breached the Corporations Act. Responding to questions from Financial Standard today, Robert said allegations levelled at him by Labor Senator Chris Ketter during Senate Estimates on Wednesday ...