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Showing 431 - 440 of 600 results for "Authorised Representative"

ASIC obtains court orders against former Ballast adviser

LAURA MILLAN  |  THURSDAY, 24 JUL 2014
The Federal Court in Perth has issued orders to restrain a former Ballast Financial Management authorised representative from providing financial advice and dealing in financial products. The Australian Securities and Investments Commission (ASIC) obtained ...

GPS Wealth approves DomaCom fractional property fund

STAFF WRITER  |  TUESDAY, 15 JUL 2014
Queensland-based dealer group GPS Wealth (GPS) has approved the DomaCom fractional property fund. This latest approval means that nearly 400 advisers now have the DomaCom fund on their approved product list (APL). Commenting on the approval, GPS Wealth ...

ASIC jails AMP former adviser

HARRY PAGE  |  THURSDAY, 3 JUL 2014
A former authorised representative of AMP Financial Planning has been jailed for 13 years after being convicted for 181 counts of theft. The Australian Securities and Investments Commission (ASIC) has permanently banned former Tina Louise McPhee in ...

TPB open for TASA registration from today

LAURA MILLAN  |  TUESDAY, 1 JUL 2014
Financial planners who provide tax financial advice can register from today with the Tax Practitioners Board (TPB) to comply with the Tax Agent Services Act 2009 (TASA). The TPB has sent all Australian financial services licensees (AFSL) instructions ...

ASIC bans former PIS and AMP advisers

LAURA MILLAN  |  MONDAY, 23 JUN 2014
... proceeds of crime. Moo pleaded quilty in December 2013 and until then was an Australian financial services authorised representative and authorised credit representative of AMP Financial Planning. In a separate case, ASIC has also permanently banned ...

Financial Wisdom to face class action for poor advice

LAURA MILLAN  |  MONDAY, 16 JUN 2014
... with Meridien Wealth clients who suffered financial losses next month in Cairns. Meridien Wealth was an authorised representative of CBA-owned Financial Wisdom and a series of wrong behaviour by one of its financial advisers, Rollo Sherriff, were exposed ...

UBS adviser banned from financial services industry

STAFF WRITER  |  WEDNESDAY, 11 JUN 2014
... financial services for six months, until November 2014. Fair is an undischarged bankrupt and was an authorised representative of Ballast Financial Management and an employee and sole shareholder of Australian Global Insurance Services. He falsely represented ...

Queensland advice firm falls foul of regulator

MARK SMITH  |  THURSDAY, 15 MAY 2014
ASIC has accepted an enforceable undertaking (EU) from Queensland-based financial services firm LCL Capital after it found failings in the way the companyA monitored and supervised its advisers. ASIC's investigation came after a review of the advice ...

ASIC permanently bans 'tombstoning' adviser

LAURA MILLAN  |  WEDNESDAY, 16 APR 2014
... from fictitious clients and variations to insurance contracts. Vyas' conduct occurred when he was an authorised representative of financial advice companies Lionsgate Financial Group and HNW Planning. In February 2014, Vyas was convicted and sentenced ...

TPB releases tax advice definition in YouTube video

LAURA MILLAN  |  MONDAY, 14 APR 2014
The Tax Practitioners Board (TPB) has listed in a YouTube video the five requirements that advisers need to meet to comply with the definition of tax advisers. In a video uploaded to the TPB's YouTube channel last week, the organisation's chair Ian ...