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Showing 71 - 72 of 72 results for "adviser exam"

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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