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Showing 751 - 760 of 5655 results for "Financial adviser"

Former adviser convicted over false documents

CHLOE WALKER  |  THURSDAY, 30 NOV 2023
Former financial adviser David Fong and his practice Fong Financial Planners have been convicted and sentenced in a Perth court for three counts of dishonest conduct. Fong, who was an authorised representative of AMP Financial Planning between January ...

ASIC confirms adviser registration deadline

KARREN VERGARA  |  WEDNESDAY, 29 NOV 2023
After receiving Royal Assent on November 27, ASIC is urging all financial advisers who service retail clients to register before the 1 February 2024 final deadline. From this date, advisers otherwise known as relevant providers who provide personal ...

BBY manager charged with aiding and abetting

KARREN VERGARA  |  WEDNESDAY, 29 NOV 2023
... community correction order, including 380 hours of community service. In November 2017, ASIC banned former BBY financial adviser Sergio Nicolo Belardo from providing financial services for 10 years for trading in clients' accounts without authori ...

Spatium Capital selects trustee, administrator for small caps fund

CASSANDRA BALDINI  |  TUESDAY, 28 NOV 2023
Melbourne-based Spatium Capital has named True Oak as its trustee and the ASCENT Group as the administrator of its small companies fund. True Oak and the ASCENT Group are expected to oversee the Spatium Capital Small Companies Fund (SSCF) from early ...

Betashares launches cash plus managed fund

CASSANDRA BALDINI  |  MONDAY, 27 NOV 2023
The Betashares Australian Cash Plus Fund (managed fund) (MMKT) offers investors access to a diversified portfolio that includes Australian dollar cash and short-term money market securities. According to Betashares, most money market securities in the ...

ASIC investigates iExtend over possible unlicensed conduct

CHLOE WALKER  |  THURSDAY, 23 NOV 2023
ASIC has accepted a court enforceable undertaking from iExtend Holdings Company (iExtend) after investigating concerns that it was operating without an AFSL. The undertaking also relates to iExi Pty Ltd, which trades as iExtend. Documents show the investigation ...

Paraplanners unfazed by QAR, AI: Survey

KARREN VERGARA  |  WEDNESDAY, 22 NOV 2023
... the rest work on a hybrid basis. Only 6.2% of paraplanners are located offshore. Just 21% intend to become a financial adviser as the majority find compliance too burdensome. Many prefer not to be client-facing and don't want the "sales pressure. ...

Inaugural FAAA award winners named

CASSANDRA BALDINI  |  WEDNESDAY, 22 NOV 2023
... commitment to professionalism." The FAAA Inspire Women Excellence in Advice Award went to Sufficient Funds senior financial adviser Cara Williams. Williams conveyed to the judges how her value propositions significantly enhanced not just her clients' ...

Allianz Retire+ heavyweight jumps ship

ELIZABETH FRY  |  FRIDAY, 17 NOV 2023
... said. That said, Thornton argued that the gold standard will always be financial advice from an independent financial adviser. To him, better and more seamless access to personal data is still one of the key hurdles. Thornton wants a world where advisers ...

Aussie investors optimistic about returns

CHLOE WALKER  |  FRIDAY, 17 NOV 2023
In the face of increasing inflation and global uncertainty, local investors expect positive returns in the coming year, according to Schroders' Global Investor Study 2023. Conducted between May 26 and July 31, the study surveyed over 23,950 investors ...