Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 681 - 690 of 1670 results for "Register"

Advisers serious about licensee due diligence

JAMIE WILLIAMSON  |  WEDNESDAY, 20 NOV 2019
... periods to existing licensees and clients, the group said. According to Rainmaker analysis of the ASIC Financial Adviser Register, as at November 14, the dealer group is home to 71 financial advisers.

Three advisers cop ASIC bans

KANIKA SOOD  |  WEDNESDAY, 20 NOV 2019
... licence ceased. Prior to this, she spent seven years at National Australia Bank, according to ASIC's Financial Adviser Register. In an order made on November 8, ASIC banned Peter Jianchao Xu, who was most recently employed at Neo Wealth Solutions until ...

Vanguard appoints head of superannuation

ELIZA BAVIN  |  TUESDAY, 19 NOV 2019
Vanguard has announced three new appointments to its Australian executive team, including a lead for its new superannuation offering. Michael Lovett will return to Melbourne from Vanguard's US head office to lead Vanguard Australia's planned superannuation ...

Registration deadline extended: ASIC

ELIZABETH MCARTHUR  |  THURSDAY, 14 NOV 2019
... financial services licensees that they will not be in breach of the law because their financial advisers were not able to register with ASIC-approved compliances schemes. The original deadline for registering was 1 January 2020. ASIC has now granted ...

RMBS scrutiny could be loosened in US

ELIZABETH MCARTHUR  |  WEDNESDAY, 13 NOV 2019
The US Securities and Exchange Commission (SEC) has issued a call for input from investors and market participants on the asset-level disclosure requirements for residential mortgage-backed securities (RMBS). SEC chairman Jay Clayton explained that ...

Financial services the most unethical industry

HARRISON WORLEY  |  TUESDAY, 12 NOV 2019
The financial services industry continues to take a beating in the court of public opinion, with new research showing Australian consumers see the banking and finance industry as the most unethical sector in the country. Released today by the Governance ...

FPA Congress could be biggest yet

ELIZABETH MCARTHUR  |  MONDAY, 11 NOV 2019
The 2019 Financial Planning Association of Australia Congress is on track to be the biggest yet, with numbers of delegates registered surpassing last year's. Dante De Gori, chief executive of the FPA, said registration numbers are tracking to beat the ...

Former Apogee, GPS Wealth advisers banned

JAMIE WILLIAMSON  |  THURSDAY, 7 NOV 2019
... from 2015 to 2018. Prior to this he was licensed by ANZ and, before that, IOOF. According to the ASIC Financial Adviser Register, Khaw is a certified financial planner and member of the Financial Planning Association of Australia. Meanwhile, ASIC has ...

ASIC freezes Sydney advisers' assets

ELIZA BAVIN  |  WEDNESDAY, 6 NOV 2019
The Australian Securities and Investments Commission have obtained consent orders and undertakings in the Supreme Court of NSW against QWL, QWL Asset Management and sole director Ross Hopkins. "ASIC commenced an investigation in relation to allegations ...

Adviser moves show industry upheaval

ELIZABETH MCARTHUR  |  TUESDAY, 5 NOV 2019
Rainmaker analysis of ASIC Financial Adviser Register data has revealed hundreds of movements across advice dealer groups in just the last three months. From July to October end, Commonwealth Financial Planning lost over 100 advisers, going from 568 ...