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Showing 51 - 60 of 105 results for "Charter Financial"

ASIC takes financial planner to court

KANIKA SOOD  |  TUESDAY, 3 JUL 2018
... partner's companies. Gordon was previously licensed by AMP's Genesys Wealth Advisers from 2010 to 2014; and Charter Financial Planning between 2005 and 2010. Separately, ASIC is forcing Goldman Sachs Australia to pay $500,000 into a community ...

ASIC bans former AMP adviser

HARRISON WORLEY  |  MONDAY, 4 JUN 2018
ASIC's wealth management project has banned a former Charter Financial Planning adviser for five years. Desmond Luplau has copped a five-year ban on the provision of financial services from the regulator for failing to act in the best interests of his ...

Managing Director departs AMP-backed planning network

HARRISON WORLEY  |  MONDAY, 4 JUN 2018
... billion in funds under advice has resigned. AMP confirmed the departure of Neil Swindells, managing director at Charter Financial Planning. Swindells was appointed as managing director in restructure of AMP's advice businesses in March 2017. His resignation ...

ASIC hits former NAB adviser with permanent ban

ALEX BURKE  |  WEDNESDAY, 18 APR 2018
... clients' behalf. During this time, he was an authorised representative of The Salisbury Group and AMP-aligned Charter Financial Planning.

AMP admits to serious misconduct in RC submissions

JAMIE WILLIAMSON  |  MONDAY, 16 APR 2018
... across 1500 practices; more than half are licensed with AMP Financial Planning, with about 1000 licensed through Charter Financial Planning or Hillross Financial Services. Follow Financial Standard for ongoing coverage of the financial services Royal ...

Royal Commission to grill FPA, AFA

JAMIE WILLIAMSON  |  WEDNESDAY, 4 APR 2018
... the second round are: AMP AMP Financial Planning ANZ ASIC Association of Financial Advisers BT Financial Group Charter Financial Planning Commonwealth Bank Dover Financial Planning Association of Australia Genesys Wealth Advisers Hillross Financial Services ...

ASIC bans former NAB, Westpac adviser

KARREN VERGARA  |  TUESDAY, 27 FEB 2018
... One director was also banned from the financial services industry. Separately, ASIC permanently banned former Charter Financial Planning adviser Brenton John Poynter for dishonestly charging clients more than $65,000 in fees. The investigation found ...

Former Charter adviser receives permanent ban

JAMIE WILLIAMSON  |  THURSDAY, 22 FEB 2018
A former Charter Financial Planning adviser is permanently banned for dishonestly charging clients more than $65,000 in fees. ASIC has banned Brenton John Poynter of Baulkham Hills in NSW from providing financial services after an investigation found ...

Vertically integrated institutions failing to manage conflicts of interest

JAMIE WILLIAMSON  |  THURSDAY, 25 JAN 2018
... with a vertically integrated business model. The advice licensees reviewed by ASIC were AMP Financial Planning; Charter Financial Planning; Millennium 3 Financial Services; ANZ Financial Planning; Count Financial; Commonwealth Financial Planning; GWM ...

Former Centra Wealth adviser banned

JAMIE WILLIAMSON  |  MONDAY, 8 JAN 2018
... Alafaci was licensed by Interprac Financial Planning and has also previously been an authorised representative of Charter Financial Planning. He is also a member of the Association of Independently Owned Financial Professionals. With the ban effective ...