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| | | ... 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 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 ... |
| | | | ... 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 ... |
| | | | 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 ... |
| | | | 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 ... |
| | | | 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 ... |
| | | | ... 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 ... |
| | | | 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 ... |
| | | | 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 ... |
| | | | ... Stoker followed up by citing figures that show thousands of financial advisers have dropped off the ASIC Financial Adviser Register since the beginning of this year. Rainmaker analysis of the ASIC FAR shows, as of yesterday, there is 25,330 advisers ... |
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