Search Results | Showing 31 - 40 of 154 results for "Financial Adviser Register" |
| | ... pathway. This would, at minimum, require them to have no disciplinary actions recorded against them on the Financial Adviser Register. Other sources for determining whether an adviser has a clean record could include whether their conduct has resulted ... |
| | | ... compliance with new requirements. On the advice front, the regulator flagged that it will also review the Financial Adviser Register to ensure it correctly records the authorisation status of existing advisers who have not passed by the relevant date. ... |
| | | ... for at least the second time. The reminder comes after a recent Financial Standard analysis of ASIC's Financial Adviser Register, indicating a total loss of 3605 advisers from 1 July 2021 to 30 June 2022. In the same 12-month period, only 546 new advisers ... |
| | | ... All shortlisted candidates will be screened, with only financial advisers registered on ASIC's Financial Adviser Register as licensed to provide personal financial advice qualified to proceed to the voting round. The 50 individuals who attract the ... |
| | | ... more than 1700 financial advisers have dropped off its register since January. Analysis of the ASIC Financial Adviser Register shows there is now 16,413 financial advisers currently active. At the beginning of the year, there was 17,668. This means that ... |
| | | ... the exam and about 91% have passed. Of those, more than 15,600 are listed as currently active on the Financial Adviser Register, ASIC said, and just 600 were new entrants to the industry. However, more than 2400 of the candidates that passed have since ... |
| | | ... requirements, consolidation of advice fee authorisation requirements, aligning the CPD year with the Financial Adviser Register registration/renewal period or with the financial year, and the temporary COVID-19 relief measures to be made permanent." ... |
| | | ... didn't permit him to trade shares on, or operate, managed discretionary accounts, ASIC said. The ASIC Financial Adviser Register shows Guan was an authorised representative of Lifespan Financial Planning until March 2021 before a two-month stint with ... |
| | | ... months to the end of March 2022;3075 advisers exited the industry in this period. Analysis of the ASIC Financial Adviser Register also showed that the number of financial advisers is now back to where it was in 2014. Nevertheless, Kaplan chief executive ... |
| | | ... left the industry in the last 12 months, according to Rainmaker's most recent analysis of the ASIC Financial Adviser Register. The number of ASIC-registered financial advisers decreased 15% through the 12 months to end March 2022 to reach 17,602. This ... |
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