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Showing 71 - 75 of 75 results for "adviser exam"

Sacked Macquarie advisers still in the industry

LAURA MILLAN  |  TUESDAY, 21 APR 2015
Some of the 11 Macquarie Private Wealth (MPW) advisers who were made redundant because they gave improper advice are currently employed in other financial planning firms, Macquarie chief executive Nicholas Moore said. Speaking at a Senate Economics ...

ASIC national exam proposal lacks evidence: CMCRC

ALEX BURKE  |  TUESDAY, 20 JAN 2015
ASIC chair Greg Medcraft's call for a national adviser examination is flawed, according to Capital Markets Cooperative Research Centre (CMCRC) chief executive Michael Aitken. While recognising Medcraft's good intentions, Professor Aitken argued that ...

Medcraft backs national adviser exam

MARK SMITH  |  TUESDAY, 13 JAN 2015
... exam's integrity and to avoid cheating." Medcraft's comments echo those of ANZ Bank, which called for a national adviser exam In its submission to the Senate Economics Reference Committee inquiry into the scrutiny of financial advice. The bank said the ...

ANZ asks for US-style national adviser exam

LAURA MILLAN  |  THURSDAY, 11 DEC 2014
ANZ has offered to foot the bill to start-up a national exam for financial advisers that mirrors the United States Series 7 exam run by the Financial Industry Regulatory Authority (FINRA). The bank estimated that it would cost $600,000 to kick-start ...

SEC adviser exams could cost US$310m

ALEX DUNNIN  |  MONDAY, 8 SEP 2014
A US study has found that improved investment adviser examination requirements could cost their funds industry US$310 million. Training consultant 'RIA in a Box' released its analysis last week following sentiment that a Bill before Congress to 'user ...
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