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Showing 61 - 70 of 84 results for "ASIC Financial Adviser Register"

Count Financial treads new path

JAMIE WILLIAMSON | THURSDAY, 20 FEB 2020

... first seven months of 2020 has already seen close to 400 advisers exit, Rainmaker analysis of the ASIC Financial Adviser Register shows. "Significant challenges come into play in the 2021 financial year as we move away from grandfathered revenue, reposition ...

Former Macquarie adviser cops lifetime ban

ALLY SELBY | THURSDAY, 13 FEB 2020

... between December 2015 and May 2018 - the entire time he was licensed by Macquarie. After this, the ASIC Financial Adviser Register shows Acworth moved to Shaw and Partners where he worked until 31 December 2019. ASIC said Acworth undertook dishonest ...

Where to from here?

JAMIE WILLIAMSON | WEDNESDAY, 5 FEB 2020

... financial advice industry has suffered most. According to Rainmaker analysis, at January end the ASIC Financial Adviser Register showed 23,473 active advisers. In the first week of February 2019 that figure stood at 27,792. That's a drop of 4319 - or ...

ASIC bans former Charter, NAB adviser

KANIKA SOOD | WEDNESDAY, 8 JAN 2020

... 2016. O'Brien is a member of the Financial Planning Association of Australia, according to the ASIC Financial Adviser Register. "The FPA has already taken disciplinary action, Mr David Allen O'Brien's membership of the FPA was terminated on 20 December ...

SMSF adviser hit with ban

ELIZABETH MCARTHUR | MONDAY, 6 JAN 2020

... Fund. He failed to disclose those conflicts of interest in statements of advice to clients. The ASIC Financial Adviser Register shows Blazejczyk is a member of the SMSF Association, the Association of Independently Owned Financial Professionals and the ...

YBR exits wealth, sells for $2.5 million

ELIZABETH MCARTHUR | MONDAY, 6 JAN 2020

... advisers of Interprac (which holds an AFSL within the Sequoia Group). Rainmaker analysis of the ASIC Financial Adviser Register shows that YBR had 58 advisers in the middle of December and that number has not yet changed following the announcement of ...

Integration of super advice business completes

ELIZABETH MCARTHUR | WEDNESDAY, 11 DEC 2019

... integration of StatePlus into $77 billion industry fund First State Super is being tied up. The ASIC Financial Adviser Register showed hundreds of StatePlus financial advisers as 'ceased' earlier this week. This was an administrative action as StatePlus ...

Elders FP to shutter

JAMIE WILLIAMSON | TUESDAY, 10 DEC 2019

... phased wind down of its business," the spokesperson said. According to Rainmaker analysis of the ASIC Financial Adviser Register, Elders is currently home to 59 advisers. The advisers are expected to transition to other licensees, with most likely to ...

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 ...

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.

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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