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Showing 721 - 730 of 1714 results for "Register"

FASEA exam tips from those who passed

ELIZABETH MCARTHUR  |  THURSDAY, 28 NOV 2019
... an upcoming session, Glenfield explained that accounts for about one quarter of the advisers on ASIC Financial Adviser Register. Newton provided some practical insights for undertaking not only the exam but the ethics course. She shared that the assignments ...

ASIC outlines Code of Ethics expectations

ELIZA BAVIN  |  TUESDAY, 26 NOV 2019
... services (AFS) licensees that they will not be in breach of the law because their financial advisers were not able to register with an ASIC-approved compliance scheme by 1 January 2020, as originally required," ASIC said. The regulator stressed financial ...

Tropical theme Ponzi scheme busted

ELIZA BAVIN  |  FRIDAY, 22 NOV 2019
Small business owners and seniors in Florida have been the victim of a tropical themed Ponzi scheme that is now under investigation by the US Securities and Exchange Commission. The SEC announced that it has filed an emergency action and obtained a ...

Continued calls for code compliance extension

ELIZABETH MCARTHUR  |  THURSDAY, 21 NOV 2019
... financial planners were registered with a code monitoring body, and that registration was recorded on the financial adviser register before the end of the year." However, he said it's important to be clear compliance with the code will still be necessary ...

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 ...