Search Results | Showing 41 - 50 of 1072 results for "Representatives" |
| | ... other licensees. "Centrepoint continues to lead the market in financial adviser recruitment with 549 authorised representatives at the end of June, an increase of 38 since the start of this financial year," it said. "In contrast, many other licensee ... |
| | | ... national secretary Zach Smith subsequently said the union had a "zero tolerance for criminality" and that any representatives found to have engaged in criminal conduct would be expelled. Since then, reportedly over 20 members, some of which have ties ... |
| | | ... instrument. [CO 14/923] was introduced to impose specific record-keeping obligations for AFS licensees or their representatives as they provide personal advice. It states that licensees must keep records for seven years after the day the personal advice ... |
| | | ... Hahnemann's departure comes amid scrutiny over Cbus' board-level ties to the CFMEU. The fund has defended its representatives, asserting that they satisfy APRA's fit and proper standards. Nevertheless, shortly after the scandal broke out, Alexandra West ... |
| | | ... UGC's AFS licence was revoked following a damning ASIC investigation which revealed that the firm's authorised representatives had contacted prospective clients, urged them to establish a self-managed superannuation fund (SMSF), rollover their existing ... |
| | | ... and that he operated a financial services business without as AFS licence (AFSL). On 10 August 2021, his legal representatives filed an application seeking orders that the pleas of guilty be set aside. On 8 April 2022, the District Court dismissed the ... |
| | | ... provided were done so efficiently, honestly and fairly and that it failed to take reasonable steps to ensure its representatives complied with financial services laws," the regulator said. Many of the clients were in a self-managed superannuation fund ... |
| | | Industry funds BUSSQ and Cbus have defended their respective boards' close ties to the CFMEU, saying all representatives satisfy the fit and proper standards outlined by APRA. This week the Victorian branch of the Construction, Forestry and Maritime ... |
| | | ... were responsible for ensuring XTrade complied with financial services laws and monitoring the supervision of its representatives. However, ASIC found that they failed to manage conflicts of interests, which led to aggressive sales tactics by XTrade's ... |
| | | ... planning; reinsurance management; scam management; technology management; training and monitoring of relevant representatives and staff; underwriting; and whistleblower policy and process. New information in the package also includes a joint ASIC and ... |
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