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Showing 31 - 39 of 39 results for "Corporate 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 ...

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 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 ...

Westpac, Count on ASIC radar over complex product advice

LAURA MILLAN  |  TUESDAY, 24 FEB 2015
... and in documenting the basis for advice provided. The regulator was also concerned that a corporate authorised representative of Genesys had not adequately disclosed the risks, features or costs of the products recommended. For HSBC, ASIC found that ...

Advisory firm directors may challenge ASIC ban

ALISON BEVEGE  |  THURSDAY, 7 JUL 2011
... additional conditions relating to compliance measures and record keeping. Seagrims will become a corporate authorised representative of dealer group Wealthsure during the license suspension period. Peter and Anne-Marie Seagrim remain as directors of ...

Signature scam adviser banned for life: ASIC

ALISON BEVEGE  |  FRIDAY, 27 MAY 2011
... Advisory Services (ASANDAS) from 2006 to 2008, and was also a director of Stripe Capital, a corporate authorised representative of ASANDAS until 2009, ASIC said. Litigation funder IMF Australia is backing a Supreme Court bid by Perth-based law firm Solomon ...

Kingston Capital joins FSP

ELISE BURGESS  |  MONDAY, 31 JAN 2011
... Kingston Capital, which deals largely with actively managed share portfolios, will become a corporate authorised representative for FSP and assist in the development of FSP's fee for service program, client directed experience and client directed fee. ...

Insurance rep banned from fin services

ASIC RELEASE  |  FRIDAY, 5 MAR 2010
... representative of Jacarlen Pty Ltd between 10 March 2004 and 15 June 2009. Jacarlen was a corporate authorised representative of an insurance broker operating predominantly in regional areas throughout Australia. ASIC found that McDonald engaged in conduct ...

Netwealth buys $700m FUA planning firm Bridgeport

MICHAEL HOBBS  |  MONDAY, 18 JAN 2010
... funds under advice. As a result of the deal, Bridgeport will retain its name and become a corporate authorised representative of netwealth's Financial Planning Services Australia (FPSA). This means FPSA now has 63 financial advisers across more than ...
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