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Showing 581 - 590 of 600 results for "Authorised Representative"

Four members to join FPA board

... worked for the WA chapter of the FPA and recently been elected to the WA state chapter. Mr Cragg's is an authorised representative of Godfrey Pembroke in Perth. The newly elected directors have extensive experience in the financial services sector. Sarah ...

AFS licensees pass ASIC's spot check

The Australian Securities and Investments Commission (ASIC) on Monday released its findings on a program of 353 randomly conducted verification visits on Australian financial services (AFS) licensees. Conducted between December 2002 and July 2004, the ...

AON joins the switch to Asgard

Risk management firm AON has become the latest group to badge and distribute Asgard's eWrap and adviserNET product advisers in a move it said would streamline delivery of products to its 220 authorised representatives. AON managing director Greg Dunger ...

Embezzlement more common but scams hurt most; report

Embezzlement accounts for almost half the incidence where retail investors have been defrauded by their financial advisers while unauthorised trading contributes one third of incidence, according to a new report conducted by Tepana Associates. In a ...

ASIC bans Perth investment adviser for 18 months

... Commission (ASIC) today announced that it had banned a Perth-based investment adviser, from acting as an authorised representative of a securities dealer or an investment adviser for 18 months. Following an investigation, ASIC found that Robert John ...

CBA expands adviser support for Financial Wisdom

The Commonwealth Bank of Australia (CBA) has significantly expanded its Adviser support package, consisting of new and improved service offerings for 400 of its Financial Wisdom Financial Planners. CBA said the initial Adviser support package consists ...

Accounting firm addition continues Capstone evolution

Premier Financial Solutions, the financial planning arm of leading accounting firm McKenzie and Partners, has become the latest group to join Capstone Financial Planning. The move sees four new Authorised Representatives join Capstone - bringing with ...

ASIC bans Darling Point financial adviser

... a representative of a securities dealer or investment adviser for five years. Mr Lloyd-Cocks was an authorised representative and founding director of Australian Investors Forum Pty Ltd (AIF), now in liquidation. He played a major role in the management ...

Victorian securities dealer banned:ASIC

... Australian Securities and Investments Commission (ASIC). Michael Kwong of Malvern East, Victoria, was an authorised representative of Smith Barney Citigroup Australia Pty Ltd (Smith-Barney), a licensed securities dealer and stockbroker, between January ...

AFA hits out on ASIC's FSR license powers

The Association of Financial Advisers (AFA) has sought urgent clarification from Hon Ross Cameron MP, the Minister responsible for the Financial Services Reform Act (FSRA), and from ASIC, on how consumers can be protected from the consequences of a ...