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Showing 801 - 810 of 1670 results for "Register"

Bank-owned advice firm requests ASIC extension

DARREN SNYDER  |  MONDAY, 22 OCT 2018
... ongoing service fees. A copy of the executive summary of EY's report can be accessed via the Enforceable undertakings register. EY's findings on remediation In relation to the remediation of CFPL customers, EY found that: For the periods 1 July 2015 ...

APRA readies ADIs for BEAR

KARREN VERGARA  |  THURSDAY, 18 OCT 2018
APRA is helping authorised deposit-taking institutions brace for the Banking Executive Accountability Regime, which is set to take effect on 1 July 2019. The prudential regulator released guidance for the smaller players in the banking and finance industry ...

BTFG enhances life cover application process, waives fees

JAMIE WILLIAMSON  |  WEDNESDAY, 17 OCT 2018
... with a lump sum policy. "We're also waiving policy fees to coincide with these enhancements. We encourage advisers to register for the enhanced software and will provide further updates throughout the year," Cohen said.

ASIC delays adviser reporting deadlines

KARREN VERGARA  |  THURSDAY, 11 OCT 2018
... advisers. On 1 August 2018, ASIC announced existing financial advisers that don't appear on its Financial Adviser Register (FAR) will be forced to complete the new exam by 1 January 2019 if they don't register soon. ASIC's guidance said only ...

ASIC bans Spectrum Wealth adviser

KARREN VERGARA  |  WEDNESDAY, 10 OCT 2018
... or inadequately trained in providing financial services. His banning will be recorded on ASIC's Financial Adviser Register. His ban is a result of ASIC's Life Insurance Lapse Data Project (LILD Project), under which the corporate regulator receives ...

The joys of an independent board

KANIKA SOOD  |  WEDNESDAY, 3 OCT 2018
... "This decision resulted in the trust moving from a 15.5% discount to a premium, and then issuing shares. Our shareholder register changed significantly, with several marginal institutional shareholders being replaced by private client brokers as well ...

ASIC offers fee relief to drought-affected farmers

HARRISON WORLEY  |  TUESDAY, 2 OCT 2018
ASIC is offering assistance to drought-stricken farmers and related businesses suffering from financial hardship. The corporate regulator will offer information about available financial counselling services and provide company fee relief to those affected ...

Financial advice as charitable giving

JAMIE WILLIAMSON  |  MONDAY, 1 OCT 2018
A new financial advice firm operating as a charity is changing the lives of low income earners in Western Australia. Registered with the Australian Charities and Not-For-Profit Commission, Leda Financial Advice was founded by financial adviser Michael ...

ASIC outlines code monitoring expectations

JAMIE WILLIAMSON  |  FRIDAY, 28 SEP 2018
... to cover; and the competence of the monitoring body's existing staff. Entities wishing to become a monitoring body can register an expression of interest from next month, with draft submissions to be provided between 1 November and 31 December. Final ...

Chief economist update: Stability is doing it for Japan

BENJAMIN ONG  |  MONDAY, 24 SEP 2018
Another new set of tariffs will take effect today in the on-going Sino-US trade battle. Yet most equity markets around the world registered gains last week ahead of its implementation. This is because US-China tariff phase two is less onerous than was ...