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Showing 61 - 70 of 398 results for "Anderson"

ASIC bans 'incompetent' financial services directors

ANDREW MCKEAN  |  FRIDAY, 19 JUL 2024
... opportunities to trade in contracts for difference (CFDs) and foreign exchange contracts. The directors, Shay Zakhaim and Anthony Anderson, have been banned from running a financial services business as directors or as responsible managers for three ...

New recruits top advice industry priority: FAAA

KARREN VERGARA  |  FRIDAY, 28 JUN 2024
... registered as at 30 June 2024, is scheduled to land in August. FAAA general manager of policy, strategy, and advocacy Phil Anderson told the briefing that it does not appear as though the ASIC levy will reduce. "None of the messages coming out of ASIC ...

ASIC ends legal battle: Provide Capital's appeal quashed

ANDREW MCKEAN  |  MONDAY, 18 MAR 2024
... under s70 of the ASIC Act and wasn't required to certify that the failure was without reasonable excuse. Justices Lee, Anderson, and McElwaine upheld the previous orders made by Justice O'Bryan in the Federal Court. On 25 September 2023, O'Bryan ...

Majority comply with IDR reporting: ASIC

KARREN VERGARA  |  MONDAY, 18 MAR 2024
... requirement," the regulator said. Financial Advice Association Australia (FAAA) general manager policy of advocacy Phil Anderson told a recent Financial Standard podcast that the IDR is "simply a matter of populating a spreadsheet that details the complaints ...

ASIC chases 757 adviser registrations

KARREN VERGARA  |  FRIDAY, 9 FEB 2024
... the AFSL provider will have committed an offence of strict liability and contravened a civil penalty provision. Phil Anderson, the general manager policy of advocacy and standards at the Financial Advice Association Australia (FAAA), told a recent Financial ...

Insignia Financial class action dismissed by court

JAMIE WILLIAMSON  |  MONDAY, 8 JAN 2024
... in value due to the Royal Commission and other circumstances. The accusations were rejected by the Honourable Justice Anderson on 20 December 2023, saying: "The evidence as a whole, does not rise to the level of establishing a problem with IOOF's ...

Australian Retirement Trust selects chief executive

JAMIE WILLIAMSON  |  THURSDAY, 14 DEC 2023
... Retirement Trust (ART) has named chief executive Bernard Reilly's successor, assuming the top job in March 2024. David Anderson will take over as chief executive of ART next year, following 25 years at Mercer both in Australia and abroad. His appointment ...

FSCP issues another registration prohibition order

KARREN VERGARA  |  WEDNESDAY, 13 DEC 2023
... on the other hand has more extensive banning orders under sections 920A & 920B. The FSCP recently hit Timothy Leslie Anderson with a registration prohibition order until after 17 May 2025 for being insolvent under administration. Canberra-based Anderson ...

FSCP serves up registration prohibition order

KARREN VERGARA  |  MONDAY, 11 DEC 2023
... May 2025 when his bankruptcy is expected to lift. ASIC's Financial Adviser register still shows that Canberra-based Anderson is a representative of Shaw and Partners. He was previously licensed with EP Financial Services. The panel found Anderson ...

Adviser with Investport links sees ban affirmed

JAMIE WILLIAMSON  |  THURSDAY, 7 DEC 2023
... the Investport scheme she was receiving loans from has seen her two-year ban affirmed by an appeals tribunal. Pamela Anderson was a financial adviser licensed by Financiallink Group, a company with ties to Linchpin Capital and Beacon Financial Group ...