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Showing 51 - 60 of 205 results for %22Code of Ethics%22

Synchron compliance lead resigns

ELIZABETH MCARTHUR  |  WEDNESDAY, 12 AUG 2020
... the Synchron team," Trapnell said. Synchron has also promoted Stefanie Georgiades, who authored Synchron's recent FASEA Code of Ethics ready reference book, to Team Leader - Regulatory Compliance, she will report to Abdullah.

Regulatory, legal exam questions trip up advisers

ELIZABETH MCARTHUR  |  MONDAY, 3 AUG 2020
... Laundering Act were among the areas where advisers were most likely to underperform. Understanding the application of the FASEA Code of Ethics and the Corporations Act to advice scenarios also proved challenging to many. So too did the identification ...

FPA, TPB to share information

ALLY SELBY  |  FRIDAY, 26 JUN 2020
... forward. The MOU will facilitate the exchange of information on matters relating to the Tax Agent Services Act 2009 and the Code of Professional Conduct. FPA chief executive Dante De Gori said the association was honoured to be the first of its kind ...

Confusion over RG 146 requirements

ELIZABETH MCARTHUR  |  WEDNESDAY, 10 JUN 2020
... have to continue with the RG 146 policy and compliance until completing the FASEA exam and approved education. "The FASEA Code of Ethics will work alongside RG 146 until such time as the exam and education qualification conditions are met," Fox said. ...

Magellan to use BasisCode for trading compliance

KANIKA SOOD  |  TUESDAY, 2 JUN 2020
... portal for ease of use and seamless interaction with employees," BasisCode said. BasisCode Personal Trading Manager delivers code of ethics and workflow support integrated into a firm's compliance monitoring system. The third product, the BasisCode ...

Adviser fears over ASIC relief

HARRISON WORLEY  |  THURSDAY, 30 APR 2020
... TWD director Cara Graham agrees, saying even with the temporary measures advisers are still required to abide by the FASEA Code of Ethics. "It's not as if that's [the Code] gone out of the window," Graham says. "All the steps in the onboarding process ...

FASEA too soft on ethical investing: Advisers

ELIZABETH MCARTHUR  |  THURSDAY, 30 APR 2020
During a Responsible Investment Association of Australasia webinar some financial advisers have suggested that FASEA's Code of Ethics doesn't go far enough on ethical investing. Appearing on the webinar, Federation Financial Services adviser Dave Rae ...

Compliance worse than COVID-19

ALLY SELBY  |  THURSDAY, 23 APR 2020
... Anderson argued there was a consensus that more was to come. In the last few years, advisers had faced FoFA reforms, the FASEA Code of Ethics, Royal Commission recommendations, ASIC Project 515 and "lookback" projects as a result of the fee for no service ...

Count Financial bolsters leadership team

ALLY SELBY  |  MONDAY, 6 APR 2020
... previously worked with Countplus chief executive Matthew Rowe to develop the Financial Planning Association of Australia's code of ethics and professional standards, now used globally through the Global Financial Planning Standards Board. Commenting ...

Industry bodies work to ease regulatory burdens

ELIZABETH MCARTHUR  |  FRIDAY, 3 APR 2020
... efficiently as possible," Marshan said. "We have been asking for some certainty from ASIC around best interests duty and the Code of Ethics to ensure you can scope the advice quickly and efficiently for the client to deal with, for example, taking money ...