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Showing 661 - 670 of 866 results for "Code"

New PJC inquiry will "close the loop" on consumer protection

LAURA MILLAN  |  WEDNESDAY, 30 JUL 2014
... an industry association," Rantall said. "If you have a public interest component and you have professional certification, code of conduct, standards and ethics, that's a professional association," he added. The Association of Financial Advisers (AFA) ...

AFA unveils main principles of code of conduct

LAURA MILLAN  |  WEDNESDAY, 30 JUL 2014
The Association of Financial Advisers (AFA) will prioritise the completion of the organisation's code of conduct after revealing the foundation principles of the document this morning at a roadshow in Sydney. The AFA expected to complete the code of ...

Macquarie rebukes advice, compliance concerns

LAURA MILLAN  |  TUESDAY, 8 JUL 2014
... banking institutions turned a blind eye to irresponsible and unethical conduct, including predatory lending, in breach of their code of practice and community standards," the report said. The document also noted that between 2008 and 2010 "Macquarie ...

TPB open for TASA registration from today

LAURA MILLAN  |  TUESDAY, 1 JUL 2014
... provide evidence of "meeting the fit and proper requirements for registration." However, they will need to abide by the TPB's code of professional conduct. Those who register under the transitional option (from January 1, 2016, to June 30, 2017) will ...

Treasury contemplates TASA relief for experienced advisers

LAURA MILLAN  |  THURSDAY, 26 JUN 2014
... ready for TASA. "Essentially, the draft we have seen today means FPA members who remain a member and adhere to the FPA's Code and Professional obligations, already fulfill many of the requirements for TPB registration," he said. However, Rantall added ...

MDA provider makes debut on ASX

LAURA MILLAN  |  WEDNESDAY, 25 JUN 2014
... Initial Public Offering. The owner of managed discretionary account specialist managedaccounts.com.au will trade under the ASX code MGP. The company raised 50% more than the minimum subscription and already has 25 clients and "a solid pipeline of new ...

UBS adviser banned from financial services industry

STAFF WRITER  |  WEDNESDAY, 11 JUN 2014
Former UBS financial adviser was banned from the financial services industry for engaging in misleading and deceptive conduct. Sebastian Konjevic was a client adviser of UBS AG holding an Australian Financial Services (AFS) licence from September 2005 ...

Australian investors prepare for market sell-off

MARK SMITH  |  MONDAY, 2 JUN 2014
... According to BetaShares' data, the average daily value traded of the BetaShares Australian Equities Bear Hedge Fund (ASX Code "BEAR") has increased by 40% in the last month. The BEAR fund trades on the ASX and is designed to go up when the market declines ...

Fostering ethical standards crucial to industry reputation: CFA

MARK SMITH  |  FRIDAY, 16 MAY 2014
... investment work experience.A Candidates must also become members of the CFA Institute, pledging to adhere to the CFA Institute Code of Ethics and Standards of Professional Conduct on an annual basis. The CFA Institute has more than 122,000 members in ...

Australian ETF industry passes $11 billion milestone

MARK SMITH  |  WEDNESDAY, 7 MAY 2014
... continues to grow. BetaShares today launched the BetaShares Geared Australian Equity Fund (hedge fund) which trades under the ASX Code "GEAR" and provides investors with a simple way to obtain a cost-effective geared exposure to the returns of the Australian ...