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Showing 521 - 530 of 600 results for "Authorised Representative"

ASIC bans former Storm adviser

ELISE BURGESS  |  FRIDAY, 25 FEB 2011
... and provided inappropriate advice to a number of his clients. The Brisbane-based adviser worked as an authorised representative of Storm Financial and its predecessor, Ozdaq Securities, between 31 May 2004 and 18 June 2009. As a result of the investigation ...

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. ...

Former adviser faces fraud charges

ASIC RELEASE  |  THURSDAY, 27 JAN 2011
... after Bridges Financial Services raised concerns of Brown's conduct. Brown was a financial adviser and authorised representative between 7 June 2007 and 13 May 2008 for the firm. ASIC's alleges the offences took place between July 2002 and July 2008. ...

Hillross awards top adviser

ELISE BURGESS  |  FRIDAY, 21 JAN 2011
... wins Hillross Advisory Firm of the Year. Chalk has worked as an adviser for 25 years and a Hillross authorised representative for 12 years. "Dianne displays great passion and integrity. She continually provides quality advice for all her clients and ...

Instos lead charge into ETFs

JOHN MCDULING  |  MONDAY, 13 DEC 2010
Four new iShares exchange traded funds (ETFs) generated $140 million in funds under management in just two trading sessions, but contrary to popular belief, institutions - not retail investors - are leading the charge into the products. iShares launched ...

Tasmanian former adviser charged for no AFSL

MEDIA RELEASE  |  TUESDAY, 23 NOV 2010
... have an AFSL or an authorisation to carry on a financial services business. Vafiadis was previously an authorised representative of a financial services licensee from 1 January 2004 until 22 November 2005. If convicted, Vafiadis faces up to two years' ...

AWM advisers join AFA

MEDIA RELEASE  |  FRIDAY, 19 NOV 2010
More than 300 Australian Wealth Management financials advisers have signed up to the Association of Financial Advisers - bringing the industry association's membership to approximately 7,000 advisers. Four licensees including Bridges Financial Services ...

ASIC bans adviser and charges former director

ELISE BURGESS  |  WEDNESDAY, 10 NOV 2010
... financial services for five years after ASIC concluded Chye engaged in market manipulation. Chye acted as an authorised representative for financial services licensee, Patersons Securities Limited, between 2003 and September 2010 during which he arranged ...

Adviser sentenced to 8yrs imprisonment

ELISE BURGESS  |  FRIDAY, 29 OCT 2010
... banned providing financial services in May this year, has a history of such behaviour with the former authorised representative of LFG Services revoked in 2007 for "failing to comply with the provisions of LFG Services' Australian financial services ...

Infocus planner banned by ASIC

ASIC RELEASE  |  WEDNESDAY, 27 OCT 2010
... appropriateness of his advice to retail clients. The regulator found that Radovan, who, while acting as an authorised representative of Infocus Securities Australia Pty Ltd, recommended financial products to more than 30 clients between 2006 and 2008 ...