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Showing 501 - 510 of 1867 results for "Authority"

Research on education standards and morals launches

KARREN VERGARA  |  WEDNESDAY, 2 JUN 2021
... ethics course and a national ethics exam administered by the soon-to-be defunct Financial Adviser Standards and Ethics Authority (FASEA). Some researchers argue that a national exam will be insufficient in ensuring ethical behaviour, while others suggest ...

AFCA names two lead ombudsmen

ANNABELLE DICKSON  |  MONDAY, 31 MAY 2021
The Australian Financial Complaints Authority (AFCA) has appointed two lead ombudsmen for insurance and small business, hiring from ASIC and Westpac. Emma Curtis has been appointed as lead ombudsman, insurance and Suanne Russell joined as lead ombudsman ...

Former adviser jailed for six years

KARREN VERGARA  |  WEDNESDAY, 26 MAY 2021
... Hopkins commenced in 2019 in response to allegations that QWL had failed to assist the Australian Financial Complaints Authority in resolving client complaints. In delivering the sentence, Judge Wood said Hopkins' behaviour was "deeply stupid". He ...

JANA appoints head of sustainability

KANIKA SOOD  |  MONDAY, 24 MAY 2021
... Africa.Prior to this, she was an investigator in enforcement and financial crime division of the UK's Financial Conduct Authority. "JANA has been steadily expanding our capabilities in the sustainability space in recent years. We are thrilled to have ...

ASIC bans Theta managing director

KARREN VERGARA  |  MONDAY, 17 MAY 2021
... a penalty of $100,000 and $2 million respectively. Several SIT investors took to the Australian Financial Complaints Authority in the hope of receiving compensation, but Theta was already in the process of folding, having appointed Worrells Solvency ...

FASEA approves two degrees

KARREN VERGARA  |  MONDAY, 17 MAY 2021
The Financial Advisers Ethics and Standards Authority has added two degrees to its approved list of courses. Any bachelor's degree with a major in financial services that commenced from March 2021 at Southern Cross University has been given FASEA's ...

AFCA welcomes new chair

KARREN VERGARA  |  MONDAY, 17 MAY 2021
An Order of Australia recipient has been named the new chair of the Australian Financial Complaints Authority, replacing Helen Coonan. John Pollaers is the new independent chair of AFCA, replacing Coonan, whose tenure comes to an end this month. Coonan ...

ASIC to wind up PE Capital

ELIZABETH MCARTHUR  |  FRIDAY, 14 MAY 2021
... from an AFSL holder. The claim says PE Capital held itself out as being a corporate authorised representative with the authority to issue information memorandums for unregistered schemes and special purpose vehicle trusts. On top of that, ASIC claims ...

Advice practices set to benefit from tax cuts

KARREN VERGARA  |  WEDNESDAY, 12 MAY 2021
... tinkered with, a position the FPA has consistently held." The government has given the Financial Standards and Ethics Authority (FASEA) $2.5 million until it wraps up at the end of 2021. "There is still significant regulatory change this year with the ...

Key Treasury initiatives outlined

JAMIE WILLIAMSON  |  TUESDAY, 11 MAY 2021
... ASIC and the Small Business Ombudsman ($49m) and the continued operation of the Financial Adviser Standards and Ethics Authority until December 31 ($2.5m).