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Showing 671 - 680 of 1670 results for "Register"

Integration of super advice business completes

ELIZABETH MCARTHUR  |  WEDNESDAY, 11 DEC 2019
... integration of StatePlus into $77 billion industry fund First State Super is being tied up. The ASIC Financial Adviser Register showed hundreds of StatePlus financial advisers as 'ceased' earlier this week. This was an administrative action as StatePlus ...

ASIC suspends Melbourne-based AFSL

ELIZA BAVIN  |  WEDNESDAY, 11 DEC 2019
ASIC has suspended the AFSL of Melbourne-based financial services provider Australian Golden Securities until May 2020. ASIC said the licence has been suspended over concerns the company is not meeting its obligations as an AFS licensee. The regulator ...

Elders FP to shutter

JAMIE WILLIAMSON  |  TUESDAY, 10 DEC 2019
... phased wind down of its business," the spokesperson said. According to Rainmaker analysis of the ASIC Financial Adviser Register, Elders is currently home to 59 advisers. The advisers are expected to transition to other licensees, with most likely to ...

ATO issue SMSF scam warning

ELIZABETH MCARTHUR  |  TUESDAY, 10 DEC 2019
The Australian Tax Office has issued a warning against promoters of illegal self-managed superannuation schemes. The ATO is reminding consumers that SMSF schemes promising to allow you to withdraw super early can be illegal. "You can only access your ...

Industry fund publicly shames investment adviser

ELIZABETH MCARTHUR  |  MONDAY, 9 DEC 2019
A $3.3 billion industry superannuation fund revealed it has put an investment adviser on watch in relation to ESG concerns. First Super said Orbis Investment Advisory is on watch due to its approximately 23% holding in XPO Logistics. XPO Logistics is ...

Chief economist update: Bah humbug

BENJAMIN ONG  |  TUESDAY, 3 DEC 2019
"Have yourself a merry little Christmas, Let your heart be light From now on, Our troubles will be out of sight..." - Judy Garland Yes, Virginia, it looked like that over the past few weeks and into the first days of the Christmas month. The rally in ...

FASEA exam tips from those who passed

ELIZABETH MCARTHUR  |  THURSDAY, 28 NOV 2019
... an upcoming session, Glenfield explained that accounts for about one quarter of the advisers on ASIC Financial Adviser Register. Newton provided some practical insights for undertaking not only the exam but the ethics course. She shared that the assignments ...

ASIC outlines Code of Ethics expectations

ELIZA BAVIN  |  TUESDAY, 26 NOV 2019
... services (AFS) licensees that they will not be in breach of the law because their financial advisers were not able to register with an ASIC-approved compliance scheme by 1 January 2020, as originally required," ASIC said. The regulator stressed financial ...

Tropical theme Ponzi scheme busted

ELIZA BAVIN  |  FRIDAY, 22 NOV 2019
Small business owners and seniors in Florida have been the victim of a tropical themed Ponzi scheme that is now under investigation by the US Securities and Exchange Commission. The SEC announced that it has filed an emergency action and obtained a ...

Continued calls for code compliance extension

ELIZABETH MCARTHUR  |  THURSDAY, 21 NOV 2019
... financial planners were registered with a code monitoring body, and that registration was recorded on the financial adviser register before the end of the year." However, he said it's important to be clear compliance with the code will still be necessary ...