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Showing 501 - 510 of 1037 results for "Panel"

Adviser appeals ASIC ban

EMMA RAPAPORT, JAMIE WILLIAMSON  |  WEDNESDAY, 25 JAN 2017
... that while the witness' unwillingness to give evidence was unhelpful, they could not compel a witness to appear before the panel, and that Tindall had suffered "no ongoing unfairness." The Association of Financial Advisers, of which Tindall is also a ...

ASIC imposes $40,000 penalty

EMMA RAPAPORT  |  TUESDAY, 17 JAN 2017
Financial services firm Pershing Securities paid a $40,000 infringement notice issued by ASIC's Markets Disciplinary Panel after a failure of its automated processing system. In a statement released by ASIC, the Markets Disciplinary Panel said they ...

Government shelves ASIC register sale

ALEX BURKE  |  WEDNESDAY, 21 DEC 2016
The Federal Government has unexpectedly terminated its sale of ASIC's registry. In a statement, Minister for Finance Mathias Cormann said that following a thorough evaluation of various private sector bids for the register, the process was cancelled. ...

Top 10 superannuation stories in 2016

STAFF WRITER  |  WEDNESDAY, 21 DEC 2016
... incorrectly to Australians, according to the Financial Services Council's recently appointed chair Geoff Lloyd. Speaking on a panel at the 2016 FSC Leaders Summit in Melbourne, Lloyd said: "The industry was wrong to sell super as a great way to invest. ...

Top 10 financial planning stories in 2016

STAFF WRITER  |  TUESDAY, 20 DEC 2016
... over-50 men in financial advice spells doom for the industry, according to Affinia head Marcus O'Sullivan. Commenting on a panel at the 2016 FSC Leaders Summit in Melbourne, O'Sullivan said the severe lack of diversity in financial planning was a major ...

ANZ appoints sustainable head

KERRIE SYDEE  |  FRIDAY, 2 DEC 2016
... growing reputation for sustainable finance capability." Tapley is a board member of the Carbon Market Institute, advisory panel member for the Australia-Indonesia Centre's Urban Water Cluster research project and alumni of the Cambridge Institute of ...

CommSec pays $200,000 penalty

KERRIE SYDEE  |  WEDNESDAY, 16 NOV 2016
... deceased client and entering into unauthorised market transactions following the client's death. The Markets Disciplinary Panel (MDP) had reasonable ground to believe that CommSec broke subsection 798H(1) of the Corporations Act by reason of breaking ...

PC to deliver Super 2.0: FSC

ALEX BURKE  |  MONDAY, 14 NOV 2016
... system that is efficient and competitive." Not all delegates were entirely supportive of this idea. Speaking on the same panel as Loane, Australian Institute of Superannuation Trustees chief executive Tom Garcia said the emphasis on competition missed ...

Infocus celebrates success

KERRIE SYDEE  |  WEDNESDAY, 9 NOV 2016
Infocus Group has celebrated the successes of leading businesses providing exceptional financial advice across the Infocus and Patron Australian Financial Services Licensees. Announced at the group's annual conference in Singapore, a total of 18 awards ...

FPA reveals awards shortlist

KERRIE SYDEE  |  WEDNESDAY, 9 NOV 2016
... from an outstanding pool of talent. "The calibre of applications for this year's awards impressed everyone on the judging panel, with some judges stating that this was the highest standard we have ever seen," De Gori said. "I personally had the privilege ...