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Showing 711 - 720 of 1868 results for "Authority"

Research budgets shrink at UK asset managers

KANIKA SOOD  |  FRIDAY, 20 SEP 2019
... their research budgets by up to 30% but are delivering millions in benefits to investors, according to the UK financial authority's review of MiFID II. The Financial Conduct Authority yesterday published findings from its review of a sample set of firms ...

Queensland-based AFSL suspended

ELIZABETH MCARTHUR  |  TUESDAY, 10 SEP 2019
... services covered by its licence. Financial Options has since applied for membership with Australian Financial Complaints Authority (AFCA). Financial Options' licence has been suspended until 26 February 2020 - that period should allow time for the firm ...

AFCA ombudsman addresses adviser concerns

KRISTI CHENG  |  TUESDAY, 10 SEP 2019
AFCA ombudsman Shail Singh has addressed common adviser concerns regarding the authority's introduction of legacy complaints. Speaking at a recent Financial Planning Association of Australia event, Singh said AFCA will apply the standard of the relevant ...

Chief economist update: This land is ours

BENJAMIN ONG  |  MONDAY, 2 SEP 2019
... heavy-handed police responses to the protesters indicate the determination of the powers that are determination to enforce its authority on whatthey consider as its rightful sovereign territory. As well, muted responses from the international community ...

Government extends FASEA deadlines

KARREN VERGARA, JAMIE WILLIAMSON  |  FRIDAY, 30 AUG 2019
The Federal Government has extended the deadlines for financial advisers to pass the Financial Adviser Standards and Ethics Authority's exam, as well as meet its qualification requirements. Assistant Minister for Financial Services, Superannuation ...

ASIC approves name and shame rules

KARREN VERGARA  |  TUESDAY, 27 AUG 2019
The corporate regulator has given the Australian Financial Complaints Authority the green light to name financial services companies and superannuation funds in its determinations. In deciding to disclose names, ASIC said this will help identify conduct ...

APRA opens margin requirement talks

HARRISON WORLEY  |  THURSDAY, 15 AUG 2019
... million threshold. Additionally, the prudential regulator proposes to add its UK counterpart, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority to the list of foreign bodies eligible for substituted compliance with APRA's ...

FASEA approves more coursework

KARREN VERGARA  |  MONDAY, 12 AUG 2019
The Financial Adviser Standards and Ethics Authority has approved a number of education credits and bridging courses to help financial advisers meet its education standards. Coursework offered by the Certified Investment Management Analyst (CIMA), CFA ...

FASEA exam results spark debate

ELIZABETH MCARTHUR  |  FRIDAY, 9 AUG 2019
Financial advisers have taken to social media to vent about the Financial Adviser Standards and Ethics Authority exam results. While many posted screenshots of the FASEA certificate saying that they passed the exam, some advisers had questions. Financial ...

Inaugural FASEA exam results in

KARREN VERGARA  |  THURSDAY, 8 AUG 2019
... Ethics Authority's inaugural exam have passed with flying colours. FASEA chief executive Stephen Glenfield said the authority is pleased with the implementation of the first exam. He congratulated the 579 financial advisers who took the exams in ...