Search Results | Showing 41 - 50 of 59 results for %22Rowena Orr%22 |
| | ... practice of heavily negotiating enforceable undertaking outcomes with financial advice licensees. Senior Counsel Assisting Rowena Orr asked ASIC senior executive leader - financial advisers, Louise Macaulay, why ASIC did this instead of "exercising its ... |
| | | ... calls in which a staffer impersonated a client may have been at his direction. Questioned by Senior Counsel Assisting Rowena Orr on Tuesday, Henderson Maxwell chief executive and senior financial adviser Sam Henderson admitted it was "most likely" he ... |
| | | ... complaint to the FPA in March 2017, which until today has not been resolved, De Gori told Senior Counsel Assisting Rowena Orr. He couldn't confirm precisely when it will be resolved other than it was "imminent." Henderson left the FPA on 3 July 2017 ... |
| | | ... Planning Association of Australia which, almost 12 months later, is yet to be resolved. Asked by Senior Counsel Assisting Rowena Orr why she chose to share her story with the Royal Commission, McKenna said: "As a semi-public person I considered it was ... |
| | | ... Mr E in November 2016, an authorised representative of AMP Financial Planning, Britt told Senior Counsel Assisting Rowena Orr. Mr E advised the husband to rollover the balances of his TAL and MLC MasterKey superannuation accounts to AMP's MyNorth product ... |
| | | ... conduct a serious compliance concern in ASIC's view. Hagger disagreed with this finding and told Senior Counsel Assisting Rowena Orr that he notified Haworth-Booth of this at the time, but that this "confusion" stemmed out of a limited understanding ... |
| | | ... there's greater diversity and variability in practices and processes, she said. Rixon told Senior Counsel Assisting Rowena Orr that uniformity across ANZ's entire advice network should have been a priority because this not only provides "guiderails" ... |
| | | ... Whereat discussed the case study of former RI Advice authorised representative John Doyle with Senior Counsel Assisting Rowena Orr. Despite Whereat attending a meeting in August 2015 and suspending Doyle eight days later - along with commencing an investigation ... |
| | | ... hybrid securities on the same day. BT Financial Advice general manager Michael Wright told Senior Counsel Assisting Rowena Orr that recommending clients invest in the securities without considering if it was appropriate for their individual financial ... |
| | | ... Wright said. Ironically, Wright's LinkedIn profile describes himself as a "sales professional", Senior Counsel Assisting Rowena Orr pointed out. Wright said he personally wants the industry to move to a fee for service model - like AMP's Anthony Regan ... |
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