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Showing 401 - 410 of 600 results for "Authorised Representative"

ASIC bans SMSF adviser

ALEX BURKE  |  MONDAY, 9 NOV 2015
... director of and shareholder in Colisa, which traded as Anmar Financial Consultants and was a corporate authorised representative of Ballast Financial Management. Ballast terminated Pearson's authorised representative status in October 2013. Explaining ...

ASIC bans former Westpac-aligned adviser

ALEX BURKE  |  FRIDAY, 16 OCT 2015
... ASIC has permanently banned an adviser formerly with a Westpac-aligned licensee. Amanda Ritchie was an authorised representative of Magnitude Group, a Westpac subsidiary, from February 2013 to August 2014. Westpac terminated her employment in August ...

ASIC bans ex-Genesys adviser

ALEX BURKE  |  THURSDAY, 1 OCT 2015
ASIC has banned a former Genesys financial adviser. Lukas Zelka was an authorised representative of AMP-owned Genesys Wealth Advisers from 2009 to 2011; after working at Jigsaw Support services for a year, he moved to another AMP licensee, Charter Financial ...

Adviser linked to Spring FG banned for document forgery

LAURA MILLAN  |  THURSDAY, 3 SEP 2015
... finance letters to get more commissions. He was an employee of Murphy Dawson Partners, which was an authorised representative of Spring Financial Group between May 2011 and May 2012. Nicholas Hunter was a self-managed super fund (SMSF) adviser who was ...

Centrepoint in talks to build ex-insto advice network

ALEX BURKE  |  TUESDAY, 11 AUG 2015
More advice practices are looking to depart institutionally-aligned dealer groups and join independent licensees, according to Centrepoint Alliance. As Centrepoint managing director John de Zwart put it in a statement, "The days of adviser practices ...

Macquarie adviser forged signatures, lied to clients

LAURA MILLAN  |  FRIDAY, 7 AUG 2015
An authorised representative of Macquarie Equities Limited (MEL) has been banned for six years after the regulator found that he forged client documents. Shawn Hickman engaged in unauthorised discretionary trading on his clients' accounts between November ...

Independent advice licensee under ASIC radar

LAURA MILLAN  |  THURSDAY, 6 AUG 2015
A Queensland advice group has seen its Australian financial services licence questioned by the Australian Securities and Investments Commission (ASIC). The regulator has imposed new licence conditions on Sentinel Private Wealth following concerns over ...

A sobering lesson from a social move gone wrong

LAURA MILLAN  |  WEDNESDAY, 1 JUL 2015
... agreement made public last week by the Treasury and industry representatives. Howarth's status as an authorised representative of Libertas Financial Planning was revoked earlier this week and managing director Mark Euvrard expressed surprise at the adviser's ...

Mandatory qualifications will lead to adviser exodus

ALEX BURKE  |  WEDNESDAY, 27 MAY 2015
... feared for the "old and bold" - the Baby Boomer planners - who wouldn't meet the requirements for an authorised representative licence, because they "hadn't done an exam for 20 years." "They're not going to go back and do the exam," he continued. "They've ...

Wealthsure to cancel AFS licence

LAURA MILLAN  |  FRIDAY, 1 MAY 2015
Wealthsure Group will request for its Australian Financial Services (AFS) licence to be cancelled, following the acquisition by Sentry Group. Wealthsure (WPL) has already transferred some of its authorised representatives to Wealthsure Financial Services ...