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Showing 441 - 450 of 833 results for "Corporations Act"

Three attempts at adviser exam is fair: Poll

KARREN VERGARA  |  MONDAY, 23 JUL 2018
... Completion of the exam would take between three and four hours. The content will test advisers' knowledge of the Corporations Act, particularly around financial services and markets (30%) and the FASEA code of ethics (15%). It will also test advisers' ...

FASEA issues adviser exam proposals

JAMIE WILLIAMSON  |  WEDNESDAY, 11 JUL 2018
... proposing tthe Financial Adviser Examination assess the practical application of advisers' knowledge around the Corporations Act, with an emphasis on Chapter 7 - financial services and markets (30%), and the FASEA code of ethics (15%). It will also ...

Advised clients and their most frequently asked questions

KARREN VERGARA  |  MONDAY, 9 JUL 2018
... to producing advice using technology that was invented in 105B.C. - we're in 2018. There is nothing in the Corporations Act or in ASIC regulatory guidance that says we need to provide advice on paper," Marshan said. Despite ASIC declaring itself ...

Super funds countdown to Royal Commission

KARREN VERGARA  |  MONDAY, 9 JUL 2018
... Orr said Select did not voluntarily disclose its mis-selling of insurance to the Commission and breached the Corporations Act in numerous instances. In Kathy Marika's case study, Orr summarised that Select breached the Act when call centre employees ...

Aussie funds to access Asian markets

KANIKA SOOD  |  FRIDAY, 29 JUN 2018
... Australian investors to access regional investment expertise," APIR chief Chris Donohoe said. The bill amends the Corporations Act 2001 to implement the Asia Region Funds Passport. "Further, when accompanied with the CCIV legislation that is currently ...

Statements of Advice: Out with the old

JAMIE WILLIAMSON  |  THURSDAY, 28 JUN 2018
... wedded to producing advice using technology that was invented in 105B.C. - we're in 2018. There is nothing in the Corporations Act or in ASIC regulatory guidance that says we need to provide advice on paper," Marshan said. Despite ASIC declaring itself ...

Former NAB, AMP adviser banned

JAMIE WILLIAMSON  |  THURSDAY, 28 JUN 2018
... inappropriate advice and display a fundamental lack of understanding of his duties and obligations under the Corporations Act 2001. Between 2007 and 2015 Cowper worked as a financial adviser at NAB, AON and Tynan Mackenzie before transferring to AMP's ...

ASIC takes civil action against AMP

HARRISON WORLEY  |  WEDNESDAY, 27 JUN 2018
... scrutinised mutual failed to ensure its authorised financial planners complied with the best interests duty of the Corporations Act. First aired during advice hearings at the Royal Commission earlier this year, AMP Financial Planning faces allegations ...

ASIC bans former adviser on IPO conduct

KANIKA SOOD  |  WEDNESDAY, 27 JUN 2018
... services law by knowingly engaging in conduct that was likely to mislead, in contravention of s1041H(1) of the Corporations Act. Kawecki has the right to apply to the Administrative Appeals Tribunal to review ASIC's banning order. ASIC's investigation ...

ASIC drags Westpac to court

KANIKA SOOD  |  MONDAY, 18 JUN 2018
... presented the court with four sample client files where Sinha allegedly breached "best interests" duty under the Corporations Act, provided inappropriate financial advice and failed to prioritise the interests of clients - misconduct that ASIC now wants ...